applied
sciences
Review
Six-Gear Roadmap towards the Smart Factory
Amr T. Sufian 1, *, Badr M. Abdullah 1 , Muhammad Ateeq 1 , Roderick Wah 2 and David Clements 2






Citation: Sufian, A.T.; Abdullah,
B.M.; Ateeq, M.; Wah, R.; Clements, D.
Six-Gear Roadmap towards the Smart
Factory. Appl. Sci. 2021, 11, 3568.
https://doi.org/10.3390/app11083568
Academic Editor: Ah-Lian Kor
Received: 11 March 2021
Accepted: 10 April 2021
Published: 15 April 2021
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4.0/).
Appl. Sci. 2021, 11, 3568. https://doi.org/10.3390/app11083568
1 Faculty of Engineering and Technology, Liverpool John Moores University, Liverpool L3 3AF, UK;
b.m.abdullah@ljmu.ac.uk (B.M.A.); m.ateeq@ljmu.ac.uk (M.A.)
2 Beverston Engineering Ltd., Prescot L34 9AB, UK; rod@beverston.co.uk (R.W.);
david.clements@beverston.co.uk (D.C.)
* Correspondence: a.t.sufian@ljmu.ac.uk
Featured Application: This work is beneficial to bridge the gap between advanced technologies
and their applications in the manufacturing industry, especially for SMEs.
Abstract: The fourth industrial revolution is the transformation of industrial manufacturing into
smart manufacturing. The advancement of digital technologies that make the trend Industry 4.0
are considered as the transforming force that will enable this transformation. However, Industry
4.0 digital technologies need to be connected, integrated and used effectively to create value and to
provide insightful information for data driven manufacturing. Smart manufacturing is a journey
and requires a roadmap to guide manufacturing organizations for its adoption. The objective of this
paper is to review different methodologies and strategies for smart manufacturing implementation
to propose a simple and a holistic roadmap that will support the transition into smart factories
and achieve resilience, flexibility and sustainability. A comprehensive review of academic and
industrial literature was preformed based on multiple stage approach and chosen criteria to establish
existing knowledge in the field and to evaluate latest trends and ideas of Industry 4.0 and smart
manufacturing technologies, techniques and applications in the manufacturing industry. These
criteria are sub-grouped to fit within various stages of the proposed roadmap and attempts to bridge
the gap between academia and industry and contributes to a new knowledge in the literature. This
paper presents a conceptual approach based on six stages. In each stage, key enabling technologies
and strategies are introduced, the common challenges, implementation tips and case studies of
industrial applications are discussed to potentially assist in a successful adoption. The significance
of the proposed roadmap serve as a strategic practical tool for rapid adoption of Industry 4.0
technologies for smart manufacturing and to bridge the gap between the advanced technologies and
their application in manufacturing industry, especially for SMEs.
Keywords: Industry 4.0; smart manufacturing; digital manufacturing; smart factory; IIoT; AI
1. Introduction
The fourth industrial revolution is an era of digital transformation in the manufactur-
ing industry. This change is seen as an evolution of previous industrial revolution and is
often considered disruptive [1]. To better understand this phenomenon, its causes, effects
and impacts, one needs to go back in history to review previous industrial revolutions, to
understand the cause of their evolution, the context behind them, their key drivers and
continuous expansion.
Prior to the industrial revolution, societies were agriculturalists. Agricultural stability
has been reached through continuous development of the irrigation engineering tech-
niques. Civilizations through history harnessed the power of water, animals and gearing
mechanism to increase the amount of work done mainly for irrigation. These engineering
techniques enormously advanced partially due to the progress made in mathematics in
the 9th century and the introduction of the crank shaft systems in the late 12th century,
https://www.mdpi.com/journal/applsci
Appl. Sci. 2021, 11, 3568 2 of 35

translating rotary motion into linear motion. This gave birth to the concept of automatic
machines subsequently enabling the development of self-driven water raising machines,
water pumps and automatic clocks [2]. Mechanical machines further advanced over time
to work with steam power, a key technological drive for the first industrial revolution in
the late 18th century. It enabled mechanical production allowing societies to move into city
living and working in purpose-built factories.
The second industrial revolution in the late 19th century was another great leap
forward in technological advancement. Mainly driven by electricity, gas and oil to power
combustion engines. This led to advances in manufacturing methods and processes such
as the introduction of productions assembly lines by Henry Ford allowing mass production
especially for automobiles and airplanes. Theis second wave in industrial advancements
revolutionized public transport and considerably reduced the cost of industrial products.
The third industrial revolution appeared at the second half of the 20th century with
the rise of electronics, computers and information technology that penetrated the manufac-
turing industry leading to automation in manufacturing. The use of Programmable Logic
Controllers (PLCs) and robotics allowed more flexibility, this enabled the production of
sophisticated products at even lower costs.
The fourth industrial revolution is now underway which builds upon the third in-
dustrial revolution digitalization and automation capabilities. Its further driven by the
advancement of the internet and communication, the power of advanced computing and
data science [3]. It enables new levels of connectivity and integration that produces insight-
ful information that can solve problems once considered unsolvable by finding patterns
that have not been seen before [4]. It enables changes in the manufacturing industry by
connecting the digital and the physical world together to build a new virtual world from
which the physical world can be steered [5,6]. This is acting as a gateway into smart
manufacturing and smarter factories [3]. In computing context, the application of cyber
physical systems (CPS) within industrial production systems defines the fourth industrial
revolution [7].
The smart factory is a concept consisting of a flexible production system with con-
nected processes and operations—via CPS and advanced digital technologies—that can
self-optimize performance, adapt to and learn from new conditions in real-time that can
autonomously run production processes [8]. Smart manufacturing on the other hand is
a term used to define the area of digital manufacturing [9]. It is a set of manufacturing
practices using a combination of data and digital technologies to manage and control man-
ufacturing operations [10]. It represents the implementation of advanced industrial digital
technologies to empower people with information for better visibility into manufacturing
processes and operations. This new level of information drive improvements and enhance
the manufacturing processes, diagnose issues, and overcome challenges in relatively short
time, turning the data into actionable insights [11]. This is recognized as a new way of
lean manufacturing, empowering people with insightful data to drive improvements and
provide opportunities to increase productivity and flexibility [12,13].
It is argued that the fourth industrial revolution offer opportunities for the manu-
facturing industry to improve its processes, asset performance, customer experience and
workforce engagements [3,5–9]. This subsequently could result in improved productivity
and increased efficiencies, the two of which reduce cost and facilitate revenue growth.
It brings more resilience and flexibility to the manufacturing industry to meet the chal-
lenges of this decade associated with sustainability, remaining competitive and making
employment experience more attractive comparable to other industries [8].
The term Industry 4.0 is often used to refer to the fourth industrial revolution. The
term was coined by the German Government’s national strategic initiative “High Tech
2020” to drive digital manufacturing forward by increasing digitalization and enhancing
competitiveness in the manufacturing industry [14,15]. Since then, it has been institutional-
ized with the platform Industry 4.0 and the Reference Architectural Model Industry 4.0
(RAMI 4.0) [1]. It now serves as a central point of contact for policy makers demonstrating
Appl. Sci. 2021, 11, 3568 3 of 35

how to approach Industry 4.0 in a structured manner and working towards national and
international standardization. The huge potential of value creation by Industry 4.0 for the
German manufacturing market is estimated to be between 70 and 140 billion Euros in the
next five to ten years [5,15].
Although Germany was the first to tap into this new way of pursuing digitalization in
the manufacturing industry it has become a global trend and the race to adapt Industry
4.0 is already happening in Europe, USA and Asia. Initiatives such as the UK “Made
Smarter” strategy 2030 [16] sets out how the UK manufacturing can be transformed through
the adoption of industrial digital technologies to become a global leader in industrial
digitalization with the potential to create enormous opportunities for the manufacturing
industry by increasing growth, creating new jobs, reducing CO2 emission and improving
industrial productivity. Other global strategies and initiatives are also in place to support
the digital transformation and competitiveness in manufacturing. For example, the “Made
in China 2025” initiative [17] aims to move manufacturing up the value chain in China.
The USA “America Makes” [18] supports additive manufacturing and 3D printing. South
Korea “Manufacturing Innovation 3.0” [19] supports the adoption and transformation
into the smart factory. Japan’s “Robot Strategy” aims to establish Japan as a robotics
superpower to address the challenges of demographics and labor in an aging and declining
population [20].
Manufacturing leaders are already taking a lead in their Industry 4.0 journeys as they
have the sufficient infrastructure and resources to continue improvements [9]. However,
the majority of small and medium enterprises (SMEs) in manufacturing sector who repre-
sent the backbone of the manufacturing industry have less mature journeys [21–23] Several
industrial reports and research papers suggest that the lack of clear strategy and vison
available to SMEs are amongst the top challenges for Industry 4.0 adoption [6,15,16,21–26].
The lack of clear strategy subsequently highlights (i) lack of awareness of industrial dig-
ital technologies associated with Industry 4.0 [16,27] (ii) lack of real-world applications
demonstrating the benefits and the potential of the available opportunities [15,28] (iii) the
complexity of Industry 4.0 technologies and various terminologies used to describe it
making it difficult to understand [29] (iv) lack of trusted advice and the know-how of
integration [17,21] and (v) lack of prioritized knowledge of where to start and how to apply
it to align with the business strategy [9,24].
This paper is an extended version of the paper published in conference proceedings of
Developments in eSystems Engineering Robotics, Sensors and Industry 4.0 DeSE 2019 [30].
The purpose of the paper is to review different methodologies and strategies for the
implementation of smart manufacturing and to introduce a novel conceptual roadmap
that can serve as a simple strategic guide for manufacturing SMEs with their Industry
4.0 journeys. It aims to bridge the gap between the advanced technologies and their
application in industry and to trigger SMEs to capitalize on the possible opportunities to
increase resilience, flexibility, sustainability, competitiveness and growth. The roadmap is a
strategic implementation focused on reducing the complexity and barriers of Industry 4.0
adoption and on the value creation that aligns with the business strategy. Section 2 of the
paper describes the careful, organized and evidence-based approach taken to prepare the
model. Section 3 reviews academic and industrial literature on similar concepts and models
to further support the systematic model creation process. Before diving into the detail
of the components of the proposed roadmap/model, Section 4 highlights key enabling
Industry 4.0 technologies relevant to smart manufacturing. Section 5 describes the stages
of the roadmap in details. The key enabling technologies and strategies are introduced,
the main challenges and implementation tips inspired from industry are discussed and
general insights and case studies of industrial applications are highlighted. Section 6
outlines common challenges associated with digital transformation in manufacturing SMEs
and practical tips on how to address them. Section 7 discusses the necessary efforts by
academia, knowledge base hubs and industry to realize this roadmap. Section 8 finally
draws conclusions.
 Appl. Sci. 2021, 11, 3568 4 of 36
Appl. Sci. 2021, 11, 3568 4 of 35

2.2.Conceptual
ConceptualModeling
ModelingMethodology
Methodology
Toachieve
To achievethe theobjectives,
objectives,aacomprehensive
comprehensiveliteratureliteraturereview
reviewwas wasperformed
performedon onthethe
techniques,applications
techniques, applicationsand andadoption
adoptionpatterns
patternsof ofIndustry
Industry4.0 4.0and
andsmart
smartmanufacturing.
manufacturing.
Figure 1 shows
Figure shows aaschematic
schematicdiagram
diagram of of
thethe
research
research methodology
methodology usedusedin this
in paper based
this paper
on a multiple
based stage approach
on a multiple described
stage approach by Webster
described and Watson
by Webster [31]. Step
and Watson 1 was
[31]. Stepto 1search
was
and
to identify
search andrelevant
identifyliterature
relevanton Industryon
literature 4.0Industry
from scientific
4.0 from andscientific
academic andjournals,
academic con-
ference proceeding,
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reports, industrial/technical articles in the
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articles
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using using
online online databases
databases (e.g. Web(e.g. of Web of Science,
Science, ProQuest, ProQuest, Springer,
Springer, ScienceDirect,
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Xplore, Xplore,
SCOPUS, SCOPUS, Elsevier,
Elsevier, SAGE, SAGE, Emerald,
Emerald, Taylor Taylor
and and Francis,
Francis, GoogleGoogle Scholar
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and Google search engine). Step 2 was to perform initial screening
Google search engine). Step 2 was to perform initial screening of the title, abstract, lan- of the title, abstract,
language, citation
guage, citation andand content
content that
that wasrelevant
was relevanttotosmartsmartmanufacturing.
manufacturing.This Thisidentified
identifieda
asubstantial
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industrial reports,3838online
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articles and
and published
published standards),
standards), whichwhichindicates
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that
thatIndustry
Industry4.0 4.0techniques
techniquesand andapplications
applicationsin inthe
themanufacturing
manufacturingindustry
industryare areevolving
evolving
and are strongly driven by industry. Step 3 was to thoughtfully
and are strongly driven by industry. Step 3 was to thoughtfully review all the materials review all the materials
found
foundfrom frominitial
initialscreening
screeningtotobe bechosen
chosenbasedbasedon onthree
threecriteria/factors
criteria/factorsthat thatfocused
focusedon on
(i)
(i) Key enabling industry 4.0 technologies relevant for smart manufacturing (e.g.,IIoT,
Key enabling industry 4.0 technologies relevant for smart manufacturing (e.g., IIoT,BigBig
Data,
Data, AI, AI,VR/AR
VR/AR etc.)
etc.) (ii)
(ii) Practical
Practical industrial
industrial applications
applications and and case
case studies
studiesusingusingsuch such
technologies
technologies in in smart
smartmanufacturing
manufacturing (e.g., (e.g., real-time
real-timemonitoring
monitoringof ofassets
assetsperformance
performance
and
andprocesses
processes[32],[32],quality
qualitycontrol
controlfor forinspection
inspection[33], [33],data
dataanalytics
analyticsandandAI AIforforpredictive
predictive
maintenance [29,34], etc.) and (iii) The concept and perspective
maintenance [29,34], etc.) and (iii) The concept and perspective of Industry 4.0 in of Industry 4.0
theinman-
the
manufacturing industry (e.g., productivity gains, impacts, patterns, etc.
ufacturing industry (e.g., productivity gains, impacts, patterns, etc. [9,24,25,27,35,36]). The [9,24,25,27,35,36]).
The
chosen chosen criteria
criteria werewere
focusedfocused
more more on applications
on applications from the from the aerospace
aerospace industry—asindustry—it was
as it was recognized as one of the sectors with great potential
recognized as one of the sectors with great potential to gain from industry 4.0 adoption— to gain from industry
4.0 adoption—especially
especially in productivityingains,productivity gains,and
cost savings cost savingsnew
building and business
buildingmodelsnew business
[16,37].
models [16,37]. These criteria/factors are sub-grouped to fit within various stages of the
These criteria/factors are sub-grouped to fit within various stages of the roadmap. This
roadmap. This approach is found to be suitable to establish existing knowledge in the
approach is found to be suitable to establish existing knowledge in the field and to evalu-
field and to evaluate latest trends and ideas of Industry 4.0 and its applications in smart
ate latest trends and ideas of Industry 4.0 and its applications in smart manufacturing.
manufacturing. The approach attempts to bridge the gap between academia and industry
The approach attempts to bridge the gap between academia and industry and contributes
and contributes to a new knowledge in the literature.
to a new knowledge in the literature.

Figure1.1.Schematic
Figure Schematicdiagram
diagramfor
forthe
theconceptual
conceptualmodeling
modelingmethodology.
methodology.

3. Review of Similar Concepts and Models

There have been considerable efforts by academia and industry to produce papers,
frameworks and conceptual models to assist with understanding advanced digital tech-
nologies and the trends that fabricate Industry 4.0 in the manufacturing sector. Table A1 in
Appl. Sci. 2021, 11, 3568 5 of 35

the Appendix A summaries some of the key academic and industrial documents produced
in the context of Industry 4.0 and smart manufacturing. It highlights their general features
and the technology trends. These contributions are divided into academic and industrial
contributions and are discussed in more details in this section.

3.1. Academic Contributions

Ahuett-Garza and Kurfess [11] discussed trends in some of the defining technologies
of Industry 4.0 that are relevant for the developments of smart manufacturing (e.g., IoT,
Big Data, CPS, robotics, machine learning and additive manufacturing). Mittal et al. [10]
defined eleven technologies (IoT, Cloud computing, intelligent control, energy savings,
additive manufacturing, cyber security, smart products, data analytics, production man-
agement IT systems, cyber physical systems, virtual technologies) five characteristics
(Context awareness, modularity, heterogeneity, interoperability, compositionality) and
three enabling factors (Law and Regulations, Innovation Education and Training, Data
Sharing Systems) relevant for smart manufacturing. Lu, Y. [38] reviewed key technologies
of Industry 4.0 (Cloud computing, Big Data, IoT, mobile computing, cyber physical sys-
tems, ICT), discusses issues and challenges of Industry 4.0 interoperability and propose
a general interoperability framework that are based upon five principles (accessibility,
multilingualism, security, open-source, multilateral), three relevant applications (smart
manufacturing, smart city, smart products) and four levels of architecture (operational,
systematical, technical, semantic). Roblek et al. [39] reviewed and evaluated theoretical
contributions and practices of Industry 4.0 and internet-connected devices that focus on
the impact and the value of IoT to manufacturing businesses. Stock and Seliger [40] re-
viewed theoretical research and industrial Industry 4.0 practices and developments for
sustainable manufacturing. A micro and a macro conceptual perspective and opportunities
are presented for Industry 4.0 integration that are based upon horizontal, vertical and an
end-to-end integration within the smart factory, across the product life cycle and the entire
value chain.
Frank et. al. [35] proposed a conceptual model for the implementation of Industry 4.0
technologies in manufacturing that was based on patterns adopted by manufacturing firms
at their mid maturity level of their digital transformation journey. The model consisted
of three sequential implementation stages: (i) vertical integration of the manufacturing
operation layers and systems, energy management (monitoring and improvement) and
traceability of final products and raw materials; (ii) advanced automation (Machine to
machine communication and industrial robotics) and virtualization (virtual commissioning
and the application of AI for maintenance and production; and (iii) flexibilization (flexi-
ble lines and additive manufacturing). The model is based upon front-end and base-end
technology layers. The front-end technology layers (smart manufacturing, smart products,
smart supply chain, smart working) are considered as the transformation of the manufactur-
ing activities while the base-end technology layers (IoT, Cloud, Big Data, analytics) provide
the connectivity, integration and intelligence for the front-end layer. The model provided
insights to organizations allowing them to focus on the front-end technologies with the
base technologies that supports it. However, the model only considered specific industrial
and traditional manufacturing sectors mainly in agriculture and it is not considered as
general pattern for Industry 4.0 technologies since more empirical evidence are needed to
validate the possible extension to other industries. Secondly, the model is purely theoretical
and does not consider the impact of its performance and implementation on industrial
level especially for SMEs.
Lee et al. [7] presented a five-level architecture (5C’s) as a guide for implementing
CPS for manufacturing applications. The model is presented as a sequential workflow
starting with the data acquisition from the ground level (smart connection), to analytics
levels (conversion and cyber), where data is converted to information and analyzed to
the final level (cognition and configure), where decisions and feedback control takes place
for the value to be created in smart manufacturing. The model also outlined analytical
Appl. Sci. 2021, 11, 3568 6 of 35

tools and methods such as condition-based monitoring and prognostics as well as health
management to manage and analyse the data for the purpose of enabling the application
of CPS in smart manufacturing. A recent case study of the application of the 5C’s model
in CPS has been briefly described by Lee et al. [41] for the development of an intelligent
spindle system of a CNC machine spindle tool based on artificial intelligence. Although
the model is designed to specifically address the know-how of the implementation of
CPS, it lacks a strategy and a process for the manufacturing sector’s SME’s to practically
implement CPS in their factory.
Ghobakhloo [6] proposed a conceptual and holistic roadmap to guide manufactur-
ing organizations through the digitalization process and transition towards Industry 4.0.
The roadmap presented detailed steps of six management principles (strategy, market-
ing, human resources, IT resources, manufacturing technology and supply chain). The
model was based upon clustering 12 design principles (smart factory, smart products,
interoperability, modularity, decentralization, virtualization, real-time capability, vertical
and horizontal integration, product personalization, cooperate social responsibility, service
orientation) and 14 technology trends (IoT, Internet of Service, Internet of People, Internet
of Data, Cloud computing, Big Data analytics, Blockchain, cybersecurity, augmented reality,
automation and industrial robotics, additive manufacturing, simulation and modeling,
cyber-physical systems, semantic technologies) associated with Industry 4.0. However, this
conceptual roadmap is not generalized to different manufacturing settings and it is limited
to contemporary manufacturers who know and have started their Industry 4.0 journey.
Lu et al. [42] reviewed and analyzed the technology domain and market trends in
Industry 4.0 and proposed a smart manufacturing key technology architecture consisted of
four layers (Sensory, Integration, Intelligent and Response) to categorize the technologies
that play a key role in smart manufacturing. However, the proposed initiative was based
on the Taiwan productivity initiative data published in 2015 that focused on conditions in
Taiwan. Hence, further research is needed to consider a broad range of rapidly emerging
Industry 4.0 technologies and to be more generalized to broader national context.

3.2. Industial Contributions

Rüßmann et al. [5] described nine technology pillars of Industry 4.0 (autonomous
robotics, simulation, horizontal/vertical integration, IIoT, cybersecurity, Cloud, additive
manufacturing, augmented reality, Big Data and analytics) and discussed their role in
transforming the future of industrial production. Kampe [43] provided a collective research
work on comprehensive eight technology sectors of Industry 4.0 (IoT, Big Data, robotics,
artificial intelligence, additive manufacturing, modeling/simulation/visualization, Cloud
computing, cybersecurity), highlighted their implications for industry and outlined case
studies to guide manufacturers for Industry 4.0 adoption. Burke, R. et. al. [8] defined and
discussed smart factory characteristics (connected, optimized, transparent, proactive, agile),
associated benefits (asset efficiency, quality, lower cost, safety and sustainability), their
impact on the manufacturing processes (manufacturing operations, warehouse operations,
inventory tracking, quality, maintenance, environmental, health and safety), highlighted
key areas to consider for the smart factory implementation (data and algorithms, technology,
process and governance, people and cybersecurity) and finally suggested practical steps
for making the transition.
Hughes [9] reviewed the state of manufacturing industry, its history of technology
adoption of manufacturing systems and future potential implementation and benefits
of smart manufacturing to the organization and supply chain. A digital transformation
framework was also outlined that constitutes of five steps (Strategic objective, Operational
excellence, Operational architecture, Business case development, Solution selection) to-
gether with recommended actions to help industrial organisations in setting up a digital
transformation initiative with respect to peoples, processes and technologies. Hughes [44]
also described an operational architecture framework that focused on applying data and
analytics within the digital transformation framework. It consisted of four layers namely,
Appl. Sci. 2021, 11, 3568 7 of 35

Industrial operations, Compute and storage, Big data model, Industrial analytics and Apps.
The framework was based upon cloud and edge analytical software and applications that
can run within the organization’s architecture and IIoT platforms.
FESTO [29] presented a guide on building a strategy for implementing digital projects
associated with Industry 4.0. The guide consisted of ten practical tips (Getting the def-
initions right, Not taking on too much at once, Focusing on goals, Getting the buy-in,
Equipment for change, Having a business model, Technical and maturity readiness, Collab-
oration, Data strategy, Future skills). ABIresearch [45] presented a guide to master a digital
transformation journey that consist of five steps (appointing a chief digital officer, training
cross functional teams, deciding on business goals, fostering collaboration, scaling applica-
tions). The report highlighted key challenges in digital transformation (cultural change,
confusing ecosystem, skills gap, outdated infrastructure) and discussed key technologies
(e.g., IIoT, AR, Robotics, PLM) that make people their central beneficiaries.
Minturn et al [46] presented a three-step approach for implementing Industry 4.0
(the implementation of sensors and controls, enhancing the capabilities of sensors, full
implementation and rolling out at a plant level). The approach focused on building a solid
foundation, infrastructure and skills to facilitate the move towards the smart factory. How-
ever, it only emphasized on the connectivity aspects of Industry 4.0 and IIoT technology.
Sensor city [28] presented a guide for the manufacturing industry consisting of five parts
that address the foundation and the challenges for successful IoT adoption. These parts
include the role of leadership, accessibility and awareness of IoT, investing in the right
skills, integration and Infrastructure and cybersecurity. The guide also highlighted case
studies relevant to the manufacturing industry that demonstrate how manufacturers can
work towards successful IoT adoption. Wright [47] presented a guide to address the IT
Infrastructure foundations that underpin key Industry 4.0 technologies (Big Data, Automa-
tion, IoT, AI, Digital Twins, Augmented Reality). A five steps approach was proposed
(choose the right infrastructure, implement secure connectivity, Always secure everything,
ensure robust connectivity, consider outsourcing support) in order to lay stable foundation
to facilitate the transition to an Industry 4.0 ready cloud environment.
Schuh et al [15] described a model called “Industry 4.0 maturity Index” to help man-
ufacturing companies with digital transformation. The model was a result of academic
studies that was published by a German National Academy of Science and Engineering. It
consisted of six consecutive stages: computerization, connectivity, visibility, transparency,
predictive capacity and adaptability. The first two of which provided the basis of digitaliza-
tion while the latter provided the implementation process of Industry 4.0. The model is also
combined with the company’s four structural areas (resources, information systems, cul-
ture, organization structure) and five functional areas of development (production, logistics,
service, marketing, sales). The Aerospace Technology Institute (ATI) [37] identified a frame-
work for the aerospace manufacturing industry to engage in digital transformation. The
framework consisted of four steps (address digital capability, leverage the digital ecosystem,
stretch collaboration and create space and safety for experiments) which will be used to
evaluate the digital capabilities and recommend opportunities for the aerospace industry.
Academic work in the field is mainly theoretical. It focuses on conceptual models
and frameworks that provides the knowhow and the design principles required to embark
on Industry 4.0 and the integration of digital technologies across the value stream in
manufacturing. It also addresses the aspects of data analysis and processing that provides
insights and the tools to drive change towards smart manufacturing. Industrial efforts are
application focused on technology trends, adoption challenges and practical guidelines
for successful Industry 4.0 adoption and digital transformation in the manufacturing
industry. This paper systematically brings together the theoretical conceptual processes of
Industry 4.0 and smart manufacturing implementations, the technology trends of Industry
4.0 and the industrial guide and advices for successful Industry 4.0 adoption, specifically
in manufacturing, in one holistic roadmap that is divided into six stages. The proposed
roadmap makes a good digital manufacturing strategy that shares common features of
 for successful Industry 4.0 adoption and digital transformation in the manufacturing in-
dustry. This paper systematically brings together the theoretical conceptual processes of
Industry 4.0 and smart manufacturing implementations, the technology trends of Indus-
try 4.0 and the industrial guide and advices for successful Industry 4.0 adoption, specifi-
Appl. Sci. 2021, 11, 3568
cally in manufacturing, in one holistic roadmap that is divided into six stages. The8pro- of 35

posed roadmap makes a good digital manufacturing strategy that shares common fea-
tures of similar models, frameworks and digital transformation strategies and initiatives.
similar models, frameworks and digital transformation strategies and initiatives. The
The six-gears roadmap towards the smart factory is strategic, macro-level concept de-
six-gears roadmap towards the smart factory is strategic, macro-level concept designed
signed to serve as a general yet practical guide for manufacturing SMEs with their Indus-
to serve as a general yet practical guide for manufacturing SMEs with their Industry
try 4.0 adoption and digital manufacturing journey. In each stage of the roadmap the key
4.0 adoption and digital manufacturing journey. In each stage of the roadmap the key
technologies are introduced, the main challenges are addressed, the adoption strategies
technologies are introduced, the main challenges are addressed, the adoption strategies
and
and implementation
implementation guidesguides inspired
inspired from industry are
from industry are discussed.
discussed. General
General insights and
insights and
case studies of industrial application from the aerospace manufacturing industry are
case studies of industrial application from the aerospace manufacturing industry are also also
highlighted.
highlighted. ItItisisa dynamic,
a dynamic,cross-functional,
cross-functional,continuous andand
continuous scalable process
scalable model
process that
model
takes into account the needs and aspirations of manufacturing SMEs based on their
that takes into account the needs and aspirations of manufacturing SMEs based on their com-
petencies, motivations
competencies, and and
motivations goals.
goals.

4.
4. Technology
Technology Jigsaw Map
Figure shows aagraphical
Figure 2 shows graphicalthree-dimensional
three-dimensionalmapmapthat
that summarizes
summarizes thethe key
key techno-
technolog-
logical drives
ical drives behind
behind the industrial
the industrial revolutions
revolutions together
together with
with the the timeline
timeline they have they have
evolved
evolved
around andaround and thethey
the impact impact
madethey
to made to the manufacturing
the manufacturing industry.industry.

Figure 2. Three-dimensional
Figure 2. Three-dimensionalmap
mapofofindustrial
industrialrevolutions
revolutions (Y-axis:
(Y-axis: Technology
Technology drive,
drive, X-axis:
X-axis: Timeline
Timeline of evolution,
of evolution, Z-
Z-axis:
axis: Impact to the manufacturing industry). (Author’s creation).
Impact to the manufacturing industry). (Author’s creation).

Technology
Technology has
hasadvanced
advancedenormously
enormouslyininthethepast decades
past decades and is continuing
and to do
is continuing to so.
do
The advanced digital technologies that make the trend Industry 4.0 are considered
so. The advanced digital technologies that make the trend Industry 4.0 are considered as the
transforming force that
as the transforming willthat
force arguably modify the
will arguably production
modify infrastructure,
the production the develop-
infrastructure, the
ment of products and services and will potentially bring about improvements
development of products and services and will potentially bring about improvements to theto
busi-
the
ness-customer
business-customerrelationships
relationships[48].[48].
Smart manufacturing
Smart manufacturing is is
thetheoutcome
outcomeofof aa successful
connectivity, integration and co-ordination of the capabilities of Industry 4.0 technologies,
which subsequently results in people, IT systems, physical assets (e.g., machines/products)
and data connected along the entire manufacturing process [5,8]. Real-time access of
data from multiple sources in the factory is valuable because it allows manufacturers
to utilize and respond to the actionable information derived from the data. It allows
manufacturers to differentiate themselves from others by making better decisions regarding
the manufacturing process, hence, the term ‘Data Driven Manufacturing’ is revolutionary
for the manufacturing industry [49,50].
Figure 3a shows relationship circles connecting people with three entities: (i) digital
represented by IT systems; (ii) physical represented by machines/products; and (iii) vir-
 data from multiple sources in the factory is valuable because it allows manufacturers to
utilize and respond to the actionable information derived from the data. It allows manu-
facturers to differentiate themselves from others by making better decisions regarding the
manufacturing process, hence, the term ‘Data Driven Manufacturing’ is revolutionary for
Appl. Sci. 2021, 11, 3568
the manufacturing industry [49,50]. 9 of 35
Figure 3a shows relationship circles connecting people with three entities: (i) digital
represented by IT systems; (ii) physical represented by machines/products; and (iii) vir-
tual
tual represented
represented by
by modeling
modeling systems.
systems. This
This relationship
relationship enabled
enabled byby Industry
Industry 4.0
4.0 digital
digital
technologies can transform all aspects of a manufacturing business. Data is
technologies can transform all aspects of a manufacturing business. Data is abundantly abundantly
available
availableinin manufacturing
manufacturingand andgetting
gettingreal-time
real-timeaccess
accessto
tothis
thisdata
dataand
andinformation
informationex-ex-
change
changebetween
betweenthe thethree entities
three allows
entities greater
allows insights
greater for afor
insights rapid decision-making
a rapid pro-
decision-making
cess [6–11,35,39,42].
process [6–11,35,39,42].

Figure 3. Connectivity relationship circles and Industry 4.0 digital technology Jigsaw map. (a) Connectivity relationship
Figure 3. Connectivity relationship circles and Industry 4.0 digital technology Jigsaw map. (a) Connectivity relationship
circles of
circles of the
the three
three entities
entities (digital,
(digital, physical
physical and
and virtual);
virtual); (b)
(b) technology
technology jigsaw
jigsaw map.
map. (IIoT:
(IIoT: Industrial
IndustrialInternet
Internetof
ofThings,
Things,
AI: artificial
AI: artificial intelligence,
intelligence, VR:
VR: virtual
virtual reality,
reality, AR:
AR: argumentative
argumentative reality,
reality, H&V
H&V Integration
Integration tools: horizontal and
tools: horizontal and vertical
vertical
integration tools,
integration tools, 5G:
5G: fifth
fifth generation communication technology). (Author’s
(Author’s creation).
creation).

This results
This results in
in an
an increased
increasedlabor laborand
andresources
resourcesproductivity,
productivity, increased
increased asset utilization
asset utiliza-
due due
tion to reduced machine
to reduced machine downtime
downtimeandand
reduced costs
reduced of maintenance,
costs of maintenance, quality inspection,
quality inspec-
inventory
tion, and time
inventory to market
and time [1,5,8,9,15,16,37,48].
to market [1,5,8,9,15,16,37,48].
Figure 3b shows nine key
Figure 3b shows nine key Industry Industry4.04.0technological
technological elements
elements [5,16]
[5,16] presented
presented inside
inside
a technology jigsaw map. These technologies can be seen as a rich collection
a technology jigsaw map. These technologies can be seen as a rich collection of available of available
tools to
tools touse;
use;therefore
therefore itit is
is important
important toto know
know when
when and
and how
how toto use
use these
these tools
tools and
and where
where
would they create value to the business
would they create value to the business [46]. [46].

5. The Six-Gear Roadmap

5. The Six-Gear Roadmap
The transition into a smart factory is a journey and the best way to implement it is
The transition into a smart factory is a journey and the best way to implement it is
through a gradual process, building on initial digitized capabilities and following contin-
through a gradual process,
uous improvements. building
Figure 4 showsonthe
initial digitized
Six-Gear capabilities
Roadmap andthe
towards following contin-
Smart Factory.
uous improvements. Figure 4 shows the Six-Gear Roadmap towards the Smart
The gears represent different stages of the journey which have been inspired from the Factory.
The gears industry.
motoring representThe
different stages
roadmap of the
serves as ajourney
holistic which have
strategic been
vision inspired
towards from the
a successful
motoring industry. The roadmap serves as a holistic strategic vision towards a successful
Industry 4.0 adoption and transformation into smart manufacturing. It is divided into six
stages, within each stage there are sub-stages highlighting key areas to be considered. A
technology jigsaw is presented alongside the roadmap stages to show the building blocks
of key enabling Industry 4.0 technologies.
The first gear of the roadmap is the strategy stage which discusses the strategy to build
for the adoption journey. The second gear is the connectivity stage which identifies ways to
build the foundations for the connectivity infrastructure. The third gear is the integration
stage which discusses system integration strategies between information and operation
technologies. The fourth and fifth gears are the Analytics and AI stages that highlights
the analytical tools and methods that can be used to capitalize on the data turning it into
Appl. Sci. 2021, 11, 3568 10 of 36

Appl. Sci. 2021, 11, 3568 10 of 35

Industry 4.0 adoption and transformation into smart manufacturing. It is divided into six
stages, within
actionable each stageThe
information. there
lastare sub-stages
gear highlighting
is the Scale keyoutlines
stage which areas todifferent
be considered. A
possible
technology jigsaw
approaches that canis be
presented
adoptedalongside the roadmap
to scale, optimize andstages to show
continue the building blocks
the development of the
different stages of
of key enabling the roadmap
Industry throughout the Industry 4.0 journey.
4.0 technologies.

Figure 4. The six gear roadmap towards the smart factory.

Figure 4. The six gear roadmap towards the smart factory.
5.1. Gear 1: Strategy
The first gear of the roadmap is the strategy stage which discusses the strategy to build
Manufacturing organizations have started to appreciate and embrace Industry 4.0
for the adoption journey. The second gear is the connectivity stage which identifies ways to
realizing the potential it can offer in terms of improving efficiencies, cost savings and
build the foundations for the connectivity infrastructure. The third gear is the integration
responsiveness to the market demands [17]. However, it can be confusing on how it can
stage which discusses system integration strategies between information and operation
be achieved in practice especially with limited case studies available and the journey
technologies. The fourth and fifth gears are the Analytics and AI stages that highlights the
could vary from one organization to another [6,21,28]. To achieve the goal towards smart
analytical tools and methods that can be used to capitalize on the data turning it into ac-
manufacturing, the proposed models suggest building a strategy to assist manufacturing
tionable information. The last gear is the Scale stage which outlines different possible ap-
SMEs throughout their journey. Figure 5 shows four main areas that should be considered
proaches
in that can be adopted to scale, optimize and continue the development of the dif-
this stage.
ferent stagesaof
Firstly, the roadmap
business throughout
case should be in the Industry
place 4.0 journey.
with clear vision, goals and objectives of
what is to be achieve that best suits the organization’s business model. This can be done
5.1.prioritizing
by Gear 1: Strategy
the areas in which it will offer the most benefit and long-term Return-On
Manufacturing
Investment (ROI) [9].organizations
Recent surveys havefromstarted to appreciate
the aerospace andsuggest
industry embracethatIndustry 4.0
the major-
realizing
ity expectthe potential
Industry 4.0itinvestments
can offer in to
terms of improving
payback within twoefficiencies, cost savings
years [25,37]. Early and andfast
re-
sponsiveness
adoption to the and
via launch marketleandemands
approach[17]. However,
could it can be confusing
also be significant on how
for competitive it can be
advantage
achieved
and in practice
cultural especially
change over with limited
late adopters case studies available
[25]. Manufacturing and the
organizations journey
within the could
same
vary from
industry one organization
might to another
share similar drives [6,21,28].
and goals, To achieve
for example, thethe goal towards
aerospace industrysmart man-
common
ufacturing,
drives are tothe proposed
increase models as
productivity suggest
demand building a strategy
grow, reduce to assist
the cost manufacturing
of manufacturing for
SMEs throughoutand
competitiveness their
tojourney.
add valueFigure
to the5 shows fourand
products main areas that
services theyshould
offer be considered
[8,37]. Every
manufacturing
in this stage. company can have a different starting point, and a bespoke digital transfor-
mation journey. It’s important to identify a specific starting point, understand where the
value to be created and begin the journey [51].
 Appl.Sci.
Appl. Sci.2021,
2021,11,
11,3568
3568 11 ofof3536
11

Figure5.5.Gear
Figure Gear1—strategy
1—strategystage.
stage.

Firstly, a abusiness
Secondly, key to acase should be
successful in place
journey with
is the clear
role vision, goalsThe
of leadership. andchallenge
objectivesinof
what
the is to be achieve
manufacturing that best
industry suitsleadership
is that the organization’s
is not atbusiness
the requiredmodel. This
level to can be done
deliver an
by prioritizing
optimum strategy theforareas
fasterintechnology
which it will offer the
adoption [28]most benefit
because andoflong-term
of lack available Return-On
examples
orInvestment
case studies (ROI)from[9].which
Recentleaders
surveyscan from the aerospace
inspired and take industry
lead from.suggest that the major-
To overcome the
ity expectchallenges,
leadership Industry 4.0 investments
digital transitiontoshould
payback be awithin
strategictwoinvestment—Possibly
years [25,37]. Early written and fast
inadoption
company’s via annual
launch strategic
and leandocument-to
approach could ensurealsoanbeinformed
significant for competitive
investment to get the ad-
confidence on the ROI. Leaders should also consider the wider
vantage and cultural change over late adopters [25]. Manufacturing organizations within technical infrastructure
and skills industry
the same needed to manage
might shareand accommodate
similar drives andthe technologies
goals, for example, in-house and what
the aerospace is
indus-
needed to source
try common them.
drives areManaging
to increasecultural changeasand
productivity gettinggrow,
demand the buy-in
reduce should
the costbe ofdriven
man-
from the topfor
ufacturing with clear communication
competitiveness and to strategy
add value on to
where the organization
the products is heading
and services they and
offer
why they
[8,37]. are doing
Every it in ordercompany
manufacturing to bring can
the whole
have a organization
different starting onboard
point,throughout
and a bespoke the
journey [8,28,29].
digital transformation journey. It’s important to identify a specific starting point, under-
standThirdly,
whereistheto value
appoint to abechampion.
created and Due to the
begin thenature
journeyof an Industry 4.0 project, i.e., be-
[51].
ing complex, requires multi-disciplinary skills and cross
Secondly, a key to a successful journey is the role of leadership. Thecommunication between
challengedifferent
in the
departments
manufacturing thatindustry
often operate
is thatindependently
leadership is not (e.g.,
atIT
theand operations),
required level toa champion
deliver anwith opti-
the
mum right leadership
strategy and technical
for faster technology skill set is needed
adoption that can
[28] because act asofaavailable
of lack digital officer
examplesand aor
project manager
case studies from whose
which responsibilities include:and
leaders can inspired (i) overseeing
take lead from. the strategy; (ii) facilitating
To overcome the lead-
activities between various departments; (iii) managing the project
ership challenges, digital transition should be a strategic investment—Possibly written implementation andin
technology adoption; (iv) constantly updating and communicating
company’s annual strategic document-to ensure an informed investment to get the confi- the ROI as well as
success metrices to leadership; and (v) establish vison of future
dence on the ROI. Leaders should also consider the wider technical infrastructure and potential projects and
applications
skills needed totoscale
managealongand theaccommodate
journey [45]. the technologies in-house and what is needed
Finally,
to source fosterManaging
them. collaboration and plan
cultural change themandwhile developing
getting the buy-in theshould
strategy.beIndustry
driven from 4.0
projects are complex as they touch on many inter-disciplinary
the top with clear communication strategy on where the organization is heading and why areas (e.g., integration of
sensors, IT, analytics, etc.). The level of technical readiness, maturity
they are doing it in order to bring the whole organization onboard throughout the journey and skills of the com-
pany workforce should be assessed to identify the relevant support needed. Collaboration
[8,28,29].
and partnership with academia, technology hubs and technology providers at different
Thirdly, is to appoint a champion. Due to the nature of an Industry 4.0 project, i.e.,
stages of the roadmap should be considered. Specialist skills and development support
being complex, requires multi-disciplinary skills and cross communication between dif-
enable quick wins and faster adoption, de-risking failures and investments [28,45,47].
ferent departments that often operate independently (e.g., IT and operations), a champion
with the right leadership and technical skill set is needed that can act as a digital officer
and a project manager whose responsibilities include: (i) overseeing the strategy; (ii) facil-
itating activities between various departments; (iii) managing the project implementation

Appl. Sci. 2021, 11, 3568
4.0 projects are complex as they touch on many inter-disciplinary areas (e.g., integration
of sensors, IT, analytics, etc.). The level of technical readiness, maturity and skills of the
company workforce should be assessed to identify the relevant support needed. Collabo-
ration and partnership with academia, technology hubs and technology providers at dif-
ferent stages of the roadmap should be considered. Specialist skills and development 12sup-
of 35
port enable quick wins and faster adoption, de-risking failures and investments [28,45,47].

5.2.
5.2. Gear
Gear 2:
2: Connectivity
Connectivity
The
The connectivity
connectivity stage
stage of
of the
the roadmap
roadmap is
is the
the most
most essential
essential stage
stage because
because it serves as
it serves as
the foundation for other stages to build upon. Figure
Figure 6 shows
shows the
the three
three sub-categories that
should be considered and the three key enabling technologies associated in in this
this stage.
stage.

Figure 6. Gear 2—connectivity stage and Industry 4.0 technology jigsaw.

Figure 6. Gear 2—connectivity stage and Industry 4.0 technology jigsaw.

5.2.1. IT/Network Infrastructure

5.2.1. IT/Network Infrastructure
To establish a stable foundation for smart manufacturing, a resilient and secure
To establish a stable foundation for smart manufacturing, a resilient and secure
IT/network systems are relied upon and must be sought to move forward [47,52]. Existing
IT/network systems are relied upon and must be sought to move forward [47,52]. Existing
IT and network infrastructure capabilities in the factory can be the starting point. It is
IT and network infrastructure capabilities in the factory can be the starting point. It is pro-
proposed that building upon the existing infrastructure should depend upon the volume
posed that building upon the existing infrastructure should depend upon the volume of the
of the potential data generation, its flow/communication through the network and data
potential data generation, its flow/communication through the network and data process-
processing capabilities
ing capabilities needed asneeded as aa dedicated
a result, result, a dedicated server.a dedicated
server. Having Having a dedicated IT in-
IT infrastructure
frastructure in place for Industry 4.0 projects should be considered, for example
in place for Industry 4.0 projects should be considered, for example a local on premises a local on
premises data
data center, center, a dedicated
a dedicated cloud infrastructure
cloud infrastructure or a hybrid or a hybrid
solution. solution.
There There are and
are advantages ad-
vantages and limitation of each in terms cost, maintenance, scalability, reliability,
limitation of each in terms cost, maintenance, scalability, reliability, flexibility and security. flexibil-
ity
Alland
thesesecurity.
shouldAllbethese should to
considered be best
considered
suit thetoorganization
best suit the organization capabilities
capabilities and workloadsand
workloads now and in the future. Wright, J [47] outlines fives steps for manufacturing
now and in the future. Wright, J [47] outlines fives steps for manufacturing organizations or-
ganizations
to lay stabletoITlay stable IT foundation
foundation and considers andcloud
considers cloud
hosting hostingpublic
(private, (private, public or
or hybrid hy-
cloud
brid cloud as
solutions) solutions)
a viableas a viable
option option
to take to take in preparation
in preparation for the 4.0
for the Industry Industry 4.0 journey.
journey.

5.2.2. Industrial Internet of Things (IIoT) Connectivity

The currency of the online world today is data as it drives business and services [53].
Data is in abundance in the manufacturing sector. To access this data, physical assets and
operations in the factory floor needs to be connected. Connectivity technologies have become
more accessible and affordable due to the considerable drop in the cost of sensors and
computing in the last few decades, further enabled by the advancement of the internet [28].
An IIoT system is a collection of an ecosystem of combined technology elements that collect,
store and harness data [54] in order to provide information, trigger events and recommended
actions to be taken.
There has been several initiatives and close collaboration between research and indus-
try to standardize the reference architectures for IIoT connectivity in industrial applications.
 collect, store and harness data [54] in order to provide information, trigger events an
recommended actions to be taken.
There has been several initiatives and close collaboration between research and in
dustry to standardize the reference architectures for IIoT connectivity in industrial appl
Appl. Sci. 2021, 11, 3568 cations. These reference architectures all serve as a general guide and aim 13 tooffacilitate
35 in
teroperability, simplicity and ease of development [55]. Reference architectures like th
Industrial Internet Reference Architecture (IIRA) and the Industrial Internet Connectivit
These reference
Framework architectures
(IICF) all serve asInternet
by the Industrial a generalConsortium
guide and aim to facilitate
(IIC) facilitateinteroper-
broader industr
ability, simplicity and ease of development [55]. Reference architectures like the Industrial
applications to help evaluate connectivity of IIoT solution [56]. The Internet of Things
Internet Reference Architecture (IIRA) and the Industrial Internet Connectivity Framework
Architecture
(IICF) (IoT-A)Internet
by the Industrial provides detailed (IIC)
Consortium overview of broader
facilitate the IoTindustry
information technology as
applications
pects [57]. RAMI 4.0 provides a three-dimensional map for smart factories
to help evaluate connectivity of IIoT solution [56]. The Internet of Things-Architecture covering man
ufacturing
(IoT-A) anddetailed
provides logistics applications
overview [58].information
of the IoT The International
technology Organization for Standard
aspects [57]. RAMI
zation
4.0 (ISO)a and
provides the International
three-dimensional mapElectrotechnical
for smart factoriesCommission (IEC) provides
covering manufacturing six domai
and lo-
gistics applications [58]. The International Organization for Standardization
model frameworks for the (IoT) Reference Architecture focusing on resilience, safety an (ISO) and the
International
security [59]. Electrotechnical Commission (IEC) provides six domain model frameworks
for theAn(IoT)
illustration Architecture
Reference focusing
on an IIoT stacks on resilience,
system is shown safety and security
on Figure 7. IIoT[59].
systems contain
An illustration on an IIoT stacks system is shown on Figure 7. IIoT systems contains
different layers that communicate and integrate in coherence with one another withou
different layers that communicate and integrate in coherence with one another without
interfering
interfering with
with existing
existing automation
automation logiclogic
of theof the physically
physically connected
connected entities. entities.
There areThere ar
multiple options to consider when building the IIoT stack, this can
multiple options to consider when building the IIoT stack, this can depend upon existing depend upon existin
capability
capability andand
thethe application
application needs.
needs.

Figure7. 7.
Figure IIoT
IIoT connectivity
connectivity stack.
stack. (Author’s
(Author’s creation).
creation).

The
The‘Thing’ layer
‘Thing’ represents
layer the core
represents hardware
the core of the of
hardware physical entity where
the physical entitythe raw the raw
where
data normally exists.
data normally exists.
The
The‘Sensor’ layer
‘Sensor’ is where
layer the embedded
is where the embeddedsensors are used
sensors aretoused
detecttoand measure
detect the
and measure th
parameter(s) of interest.
parameter(s) of interest.
The ‘Edge’ layer normally consists of embedded computing hardware and/or software
The ‘Edge’
that operates layer normally
and controls consists
the functionality of sensors
of the embedded computing
and performs onboardhardware and/or sof
processing
ofware that For
the data. operates
example,and CNCcontrols the functionality
machines/robots of the sensorsnormally
used in manufacturing and performs
consists onboar
processing of the data. For example, CNC machines/robots used
of the first three layers. They have embedded sensors wired to the PLC unit, interfaced in manufacturin
and controlled via a supervisory control and data acquisition (SCADA) system built within
for management and control acting as the edge layer. However, that’s not the case with
legacy machines as further additional sensors and edge devices are needed to access and
communicate data to upper layers of the stack.
The ‘Communication’ layer consists of multiple communication standards and proto-
cols that enable communication and data transportation. Key networking technologies for
transporting the data can be wired or wireless (e.g., Ethernet, Wi-Fi, Bluetooth, Cellular
4G/5G, LoRa, Sigfox, NB-IoT, etc.). The amount of information generated may increase
exponentially and there is a need for fast communication network for acquiring such
Appl. Sci. 2021, 11, 3568 14 of 35

information in real-time [60]. Although Industrial Ethernet has been the de-facto backbone
of many plant floor connectivity, it is worth to mention that the emergence of 5G technolo-
gies are a key enabler of the next generation communication technologies operating at
much higher frequencies and larger bandwidth [61]. Key communication protocols for data
representation that are widely used in industrial environment are OPC-UA, DPWS, UPnP,
MT-Connect, DDS and other key messaging transfer protocols includes MQTT, JSON, XML,
HTML, HTTP, CoAP, REST [62].
The ‘Application and Management’ layer consists of software components to com-
municate and manage the ‘Thing’ connected as well as creating the environment for the
IIoT applications.
The ‘Processing and Analytics’ layer is associated with the processing and analysis
of data and subsequently converting it into meaningful information. Further insights to
the data can be achieved by applying data science techniques for deeper insights or even
correlating and contextualizing it with the data obtained from other IT systems connected
via the communication layer.
The ‘Visualization’ layer is where the meaningful information and insights are pre-
sented in visual format in the form of metrics dashboards for ease of interpretation by
non-specialists.
The ‘Cybersecurity’ layer encapsulates all the different layers of the stack as secure by
design approach of the IIoT architecture.
The stack layers ‘Sensor’, ‘Edge’ and ‘Communication’ can sometimes be combined in
one device often referred to as an ‘IIoT Gateway’ combing both the hardware and software
with internet-enabled components enabling communication and data transfer to a digital
platform or infrastructure. In the aerospace industry, regular audits, inspections and quality
checks are performed during manufacturing and assembly as it is less dependent on the use
of robotics and automation because of the tight regulations regarding aircraft construction,
therefore, IIoT enabled gateway devices and tools are key to enable workers to increase
productivity [48].
The ‘Storage’ layer is where the IIoT platform will be hosted in the chosen IT infras-
tructure to operate, store, organize and manage the data flow. IIoT platforms are excellent
examples of software applications that can facilitate, organize and manage communication,
data flow, storage, device management and the functionality of applications addressing
the layers of the IIoT stack (Figure 7). This further enables integration with Information
Technology (IT) and Operation Technology (OT) that will be discussed in detail in the
next stage.

5.2.3. Cybersecurity Strategy

Cybersecurity (CS) is one of the main challenges to connectivity in smart manufac-
turing [52] and one of the biggest barriers to Industry 4.0 adoption [16]. As soon as any
device is connected to the internet, if not handled correctly, makes the whole network less
secure and resilient, therefore, CS becomes critical because of the risks associated with it.
An example of such risks can be hacking the machines and causing the production process
to stop or even cause danger to the operator if the machines are externally manipulated.
Also, as the network grow, so does the attack surface and to protect critical manufacturing
assets, a CS defense strategy must be in place to address the threats.
To get started on building a CS strategy, risks must be identified because security mea-
sures can be defined based on the risk profiles of the connected devices [63]. In manufactur-
ing most likely the risks will be the machines, tools and the data they handle, its functions
within the network operation and the potential impact to the network when it is breached.
Once the risks have been identified, security strategies can be implemented where ap-
plicable ranging from designing a secure connectivity architecture at every layer of the
IIoT stack, secure configuration of connected devices and systems on the network during
system installation as well as continuous maintenance of the IT/Network infrastructure.
Appl. Sci. 2021, 11, 3568 15 of 35

There are regulations and code of practices available to identify suitable procedures
and measures ensuring privacy and security of connected devices over the internet [63–67].
However, in the manufacturing industry, the confidentiality or privacy of the data collected
from the plant floor is not crucial because no personal data is collected, therefore, security
measures to protect such data that complies with the General Data Protection Regulations
(GDPR) [64] might not be required. However, the integrity of the data collected is funda-
mental to the operation of the service and that has to comply with the NIS Directive [65] as
IIoT connected devices provide data collection service to the manufacturing industry.
When designing the connectivity architecture of the smart factory, it is important
to get the IT department on board from the start to assist on building upon existing IT,
network and security policies to address the inclusion of connected devices and their
interoperability [68]. A recent survey by Cisco suggests that only 26% of companies that
began IoT initiatives succeeded [69] mainly due to best practice approach taken in terms of
collaboration with IT and IIoT experts.
A case study presented an example of an industrial collaboration to address factory
level network connectivity and cybersecurity of an IIoT system; known as the iSMART
factory concept [32,52]. This collaboration was between global machine equipment man-
ufacturers “Yamazaki Mazak” and the IT giants “Cisco” teaming up together to connect
machines securely via MT-Connect protocols and Industrial IT switches embedded with
network security to help prevent any issues with unauthorized access to or from the
machines and equipment within the network.

5.3. Gear 3: Integration

This stage is associated with the integration of IT and OT systems in manufactur-
ing that often operate independently, the former manages business applications from
the front office and the latter keeps the plant operations run smoothly. Integration of
IT and OT are the backbone of the smart manufacturing architecture which have been
addressed by various Industry 4.0 smart manufacturing frameworks, standards and
reports [1,5,6,8–10,15,35,40].
Figure 8 highlights vertical and horizontal integration requirements from an opera-
tional perspective that should be considered in this stage. Vertical integration aims to tight
together all the operation layers within the manufacturing organization keeping as much of
the value chain in-house as possible. The horizontal integration on the other hand aims to
connect networks of cyber-physical and enterprise systems presents within the production
facilities and the entire supply chain to establish partnerships building an end-to-end
value chain [70]. In this stage, vertical integration is discussed in detail as its considered
essential for systems and data integration between IT and OT, in order to provide agility in
finding patterns for finer control of the manufacturing process [4]. Horizontal integration
is discussed briefly in stage 6 when scalability adds additional value to the connectivity
and integration architecture of the smart factory.
Figure 9 presents an example of the international standard ANSI/ISA-95 traditional
manufacturing operation layout [71]. It encompasses five traditional operational levels
(0–4) where manufacturing information exists side-by-side together with some examples
of manufacturing software applications used in each level. It is widely developed and
applied in the manufacturing industry to provide the terminology for clarifying application
functionality and the way information is used.
Appl.Sci.
Appl. Sci.2021,
2021,11,
11,3568
3568 16 36
16 of 35

Figure 8. Gear 3—integration stage and Industry 4.0 technology jigsaw. (Primary technologies represented in color, sec-
ondary technologies represented in grey).

Figure 9 presents an example of the international standard ANSI/ISA-95 traditional

manufacturing operation layout [71]. It encompasses five traditional operational levels (0–
4) where manufacturing information exists side-by-side together with some examples of
manufacturing software applications used in each level. It is widely developed and ap-
Figure 8.
8. Gear
Gear 3—integration
3—integration stage
stage and
andIndustry
Industry4.04.0
technology jigsaw. (Primary
technology technologies represented in color, sec-
Figure plied in the
ondary technologies represented in grey).
manufacturing industryjigsaw. (Primary
to provide technologies
the terminology represented
for clarifyinginapplication
color,
secondary technologies represented in grey).and the way information is used.
functionality
Figure 9 presents an example of the international standard ANSI/ISA-95 traditional
manufacturing operation layout [71]. It encompasses five traditional operational levels (0–
4) where manufacturing information exists side-by-side together with some examples of
manufacturing software applications used in each level. It is widely developed and ap-
plied in the manufacturing industry to provide the terminology for clarifying application
functionality and the way information is used.

Figure9.9.Traditional
Figure Traditionalmanufacturing
manufacturingoperation
operationsystems
systemslayout.
layout.(Author’s
(Author’screation).
creation).

IT systems in the manufacturing industry have been traditionally developed to collect

data and manage work processes within manufacturing, to meet specific functional areas
within each operational level [72]. These systems have been purposely built to resolve
specific set of issues and often operate independently. They have difficulty obtaining data
across
Figure operational
9. Traditionallevels and theyoperation
manufacturing can’t scale or sustain
systems with
layout. the increasing
(Author’s creation). complexity of
manufacturers needs [72]. For example, enterprise resource planning (ERP) systems used in
Appl. Sci. 2021, 11, 3568 17 of 35

the business operation level play a major role in connecting day-to-day activities across the
manufacturing facility, providing essential insights into operations and the manufacturing
process integrated into one database [73]. In the operational management level, manu-
facturing operation management (MOM) systems and manufacturing execution systems
(MES) operates to bridge the gap between the enterprise business level and the automation
levels but there are limitations and complexities associated with connectivity and vertical
integration of real-time production data [35,74]. They are still heavily dependent operators’
inputs and lack data processing analytics capabilities.
Connectivity, vertical integration and synchronization between the manufacturing
operations levels are essential for greater insight into the production process for rapid
decisions making, corrective actions to be taken and to enable optimization. This can
have a significant improvement in business and financial performance making it one
of the challenging applications and cornerstones of Industry 4.0 vision for smart manu-
facturing [36,75]. Recent reports have shown that only few digitally capable advanced
manufacturing companies have fully integrated and correlated plant data with enterprise
applications since a more advanced connectivity and integration tools are needed [36,74].
There are number of key challenges associated with the integration stage. They include:
(i) interoperability (breaking down the silos in the factory floor machines and equipment’s
that speak different languages depending on the communication protocols set by the
vendors); (ii) data security (privacy issues with external sources and third parties in the
horizontal integration as it requires data to be kept secured and accessed on a need to
know basis); (iii) scalability (easily scaling the IT infrastructure by shifting IT systems
operation to the cloud when data volume and velocity significantly increase with time);
and (iv) adopting cost-effective IT applications (with strong orchestration capability to
handle the integration complexity as well as providing end-to-end visibility with robust
tools for data analytics to be performed) [38,70,76].
The IT technology market is already providing solutions to overcome the complexi-
ties of IT and OT integration to solve the challenges of interoperability (using open and
multiple standards and protocols for communication), data security (using best practice CS
standards and protocols) and scalability (via cloud ready solution) [54,62,74–76]. Table A2
in the Appendix A shows a list of leading Industry 4.0 ready IT platforms used in the man-
ufacturing industry that use best practices connectivity and integration architecture that
combine elements of IIoT and MOM/MES. These platforms do not completely replace or
rebuild long established systems but acts as a new layer to the infrastructure orchestrating
the new way of Industry 4.0 in smart manufacturing. This involves sourcing data from
anywhere with minimal connectivity and integration costs together with having analytical
capabilities to deliver insights via digital dashboards that can be accessed from anywhere
including mobile devices, augmented and virtual reality displays.
Manufacturing companies should carefully consider when implementing an IIoT
system whether to buy off-the-shelf solutions or build an in-house solution taking into
account the skills needed to build the technology stack, the scalable capability of solution,
the availability of resources, technical skills and time [4,77]. Industrial research reports find
that most successful IIoT projects use off-the-shelf solution as the basis of their operation
can get a quick ROI on the technology implementation [4,74,77].
A strategy should be in place for choosing an IIoT solution to suite the company’s
appetite. Some of the considerations include the additional capability of the platform,
the additional IT infrastructure and hardware needed, the cost of using the platform, the
customization flexibility, the technical skills required to use and manage the platform and
the ability to scale in the future.
IIoT platforms with built-in MOM/MES applications are a viable option. They are
capable to seamlessly integrate with enterprise and industrial automation applications [73]
and are accompanied with the elements of the IIoT stack (e.g., analytics tools, IIoT gateways
connectivity, cloud scalability) [8]. Case studies in [78,79] shows examples of manufacturers
implementation of such option. Other option combines industrial code-less IT systems
 customization flexibility, the technical skills required to use and manage the platform and
the ability to scale in the future.
IIoT platforms with built-in MOM/MES applications are a viable option. They are
capable to seamlessly integrate with enterprise and industrial automation applications
Appl. Sci. 2021, 11, 3568 [73]and are accompanied with the elements of the IIoT stack (e.g., analytics tools, IIoT
18 of 35
gateways connectivity, cloud scalability) [8]. Case studies in [78,79] shows examples of
manufacturers implementation of such option. Other option combines industrial code-
with built-in
less IT systemssoftware bridges,
with built-in modules
software and communication
bridges, protocols that are
modules and communication capablethat
protocols of
connecting
are capableand integratingand
of connecting dataintegrating
across the manufacturing
data across the operation layersoperation
manufacturing [62]. Examples
layers
of such
[62]. IT systems
Examples of are
such OPC Router [80]
IT systems and Kepserver
are OPC Router [80][81].
andAnother
Kepserveroption
[81].isAnother
to adopt option
a full-
fledged IIoT aplatform
is to adopt to seamlessly
full-fledged connect
IIoT platform and integrate
to seamlessly all layers
connect and of the manufacturing
integrate all layers of
operation, enhancedoperation,
the manufacturing with additional
enhancedmanufacturing
with additionaloperation apps [68].operation
manufacturing Case studiesapps
in [82,83] shows manufacturers implementation of such option. Embracing
[68]. Case studies in [82,83] shows manufacturers implementation of such option. Embrac- an ecosystem
of
ingsolutions that work
an ecosystem in harmony
of solutions enable
that work inaharmony
successful system
enable level integration
a successful system level[74]. inte-
All
three strategies have the potential to combine data from different manufacturing
gration [74]. All three strategies have the potential to combine data from different manu- operation
levels enabling
facturing capabilities
operation to move capabilities
levels enabling to the next stages
to move of the roadmap.
to the next stages of the roadmap.
Figure
Figure1010shows
showsan anillustration
illustrationof ofaasmart
smartmanufacturing
manufacturingintegration
integrationarchitecture
architecturethatthat
combines
combines elements of the manufacturing operational levels applications with elementsofof
elements of the manufacturing operational levels applications with elements
the
thecommunication
communicationlayer layerofofthe
theIIoT
IIoTstack
stackbridging
bridgingthethe
gap between
gap betweenIT and
IT andOTOT resulting in
resulting
ainconnected and integrated smart factory.
a connected and integrated smart factory.

Figure10.
Figure 10.Manufacturing
Manufacturingoperation
operationlevels
levelsand
andIIoT
IIoTintegration
integrationarchitecture.
architecture.(Author’s
(Author’screation).
creation).

5.4.
5.4.Gear
Gear4:4:Analytics
Analytics
This
Thisstage
stageisisassociated
associatedwith withanalyzing
analyzingdata
datacollected
collectedfrom
fromdifferent
differentsources
sourcesof ofthe
the
manufacturing
manufacturing operation
operation layers. Big BigData
Datarefers
referstoto
thethe vast
vast amount
amount of data
of data generated
generated due
due to volume,
to the the volume, variety,
variety, velocity,
velocity, variability
variability and and
valuevalue
[84].[84]. Big Data
Big Data is categorized
is categorized as
as smart
smart data when collected in a structured manner, condensed, processed
data when collected in a structured manner, condensed, processed and particularly ana- and particularly
analyzed
lyzed in ainwaya way
thatthat turns
turns it into
it into anan actionable
actionable information.
information. Data
Data analytics
analytics createvalue
create valuein
in manufacturing by providing a diagnostic approach to enable root-cause
manufacturing by providing a diagnostic approach to enable root-cause problem solving problem solving
and
andguidance
guidanceto toreduce
reducedeviations
deviationsthat thatoccur
occurduring
duringmanufacturing.
manufacturing. BigBig Data
Data isiscatego-
catego-
rized
rized in three ways: (i) structured data (data that comes from traditional databaseand
in three ways: (i) structured data (data that comes from traditional database and
equipment); (ii) time series data (continuously changing and event-based data); and (iii) un-
structured data (other kind of data and information not typically used in manufacturing,
e.g., weather, videos, etc.) [27,44].
The challenges of dealing with the vast amount of data include data handling com-
plexity, data volume, speed of the network and bandwidth to process such large amount of
data. To reduce the handling complexity and network bandwidth issues/limitations, data
should be initially extracted, handled, cleansed, time stamped and processed at the edge
 equipment); (ii) time series data (continuously changing and event-based data); and (iii)
unstructured data (other kind of data and information not typically used in manufactur-
ing, e.g., weather, videos, etc.) [27,44].
The challenges of dealing with the vast amount of data include data handling com-
plexity, data volume, speed of the network and bandwidth to process such large amount
Appl. Sci. 2021, 11, 3568 19 of 35
of data. To reduce the handling complexity and network bandwidth issues/limitations,
data should be initially extracted, handled, cleansed, time stamped and processed at the
edge (e.g., in (e.g.,
the IIoT gateway/machine
in the IIoT gateway/machine control level).
controlThis is to
level). produce
This relevantrelevant
is to produce infor- information
mation beforebefore
transferring it to the fog (IIoT platforms/operation management
transferring it to the fog (IIoT platforms/operation management level level ap- applications)
plications) forfor
further
further processing
processing andanddetailed
detailed analysis
analysis[85].
[85].
The traditional The view of the analytics
traditional view offramework,
the analyticsthatframework,
drives improvements
that drivesofimprovements
indus- of in-
trial operations, is divided
dustrial into four
operations, types: descriptive,
is divided diagnostics,
into four types: predictive
descriptive, and per-
diagnostics, predictive and
perspective
spective [9,44]. Descriptive [9,44]. Descriptive
analytics are a setanalytics
of metricsare a set
that of metrics
describe that describe
the event (what hap- the event (what
pened). They happened).
are referred They to as arekey referred
performanceto asindicators
key performance indicators
(KPIs). These KPIs (KPIs).
are repre-These KPIs are
represented by mathematical calculations to provide
sented by mathematical calculations to provide insights into the performance of manufac- insights into the performance of
manufacturing
turing operations operations
[86]. Diagnostics, [86]. Diagnostics,
predictive predictive
and perspective and perspective
are analytics that uncoverare analytics that
questions such uncover
as, whyquestions such as, what
things happened, why things
would happened,
happen as awhat resultwould happen
and what actionas a result and
to take in suchwhat actionDescriptive,
instances. to take in such instances.
diagnostic Descriptive,
and predictive diagnostic
analytics and predictive
are widely used analytics
are widely
as analytical tools used as analytical
in the manufacturing tools to
industry indrive
the manufacturing industry to drive
operational improvements [44]. operational
Manufacturers, improvements
largely SMEs,[44]. stillManufacturers,
rely on common largely SMEs,
KPIs to gauge still
therely on common
health KPIs to gauge the
of their busi-
ness [27]. health of their business [27].
Figure 11 shows Figure 11 shows
common common descriptive
descriptive and diagnostics
and diagnostics analytical analytical
applicationsapplications
(e.g., (e.g., Pro-
ductivity KPI metrices, condition monitoring, performance
Productivity KPI metrices, condition monitoring, performance analysis) for this stage analysis) for this stage along
along with thewith the technology
technology jigsaw jigsaw map showing
map showing Bigand
Big Data Dataanalytics
and analytics
tools tools
to be to
thebefun-
the fundamental
technologies in this stage. Predictive and perspective analytics
damental technologies in this stage. Predictive and perspective analytics and their appli- and their applications are
described in the
cations are described in the next stage.next stage.

Figure
Figure 11. Gear 11. Gear stage
4—analytics 4—analytics stage 4.0
and Industry andtechnology
Industry 4.0 technology
jigsaw jigsaw
(Primary (Primary
technologies technologies
represented rep- secondary
in color,
resented in color, secondary technologies represented in grey).
technologies represented in grey).

Amongst the Amongst

most common andcommon
the most popular productivity KPIs that the KPIs
and popular productivity manufacturing
that the manufacturing
organizationsorganizations
rely on (for managing
rely on (for managing operations) are mainly focusedbusiness
operations) are mainly focused on financial on financial business
performance performance
(e.g., manufacturing cost per unit),cost
(e.g., manufacturing efficiency focused
per unit), metrices
efficiency (e.g.,metrices
focused factory (e.g., factory
efficiency, overall equipment effectiveness (OEE)) and quality related metrics (e.g.,
efficiency, overall equipment effectiveness (OEE)) and quality related metrics scrap (e.g., scrap
rate, yield) [87]. However, more from the acquired data can be achieved by implementing
a range of KPIs that allow for the assessment and tracking of the manufacturing process
as well as success evaluation in relation to the goals and objectives. Reporting of KPIs
can also be improved using real-time digital visualization dashboards built within MOM
applications, IIoT platforms or business intelligence (BI) tools.
Asset condition monitoring is a snapshot of the health conditions of the assets in the
factory (e.g., manufacturing machine). Tracking changes of the status, performance, utiliza-
Appl. Sci. 2021, 11, 3568 20 of 35

tion, etc. of manufacturing machines enable significant change to be easily spotted once
occurred. Historical records of the snapshots collected over time from various machines
in the production line enable comparison and performance analysis to be performed [7].
For example, machines utilization history, maintenance history, failures modes etc. can
be captured and compared with its peers to identify trends and behaviors related to the
manufacturing process. This is valuable for diagnostic analytics to enable manufactures
understand why things happened.
Industrial research reports in [27,44] recommend manufacturing SMEs to consider
reviewing KPIs already being used with industry standards to ensure most important
metrics are captured that drive operational performance. They also recommend KPIs
tracking, their transformation into a continuous development program for operational
excellence and preparation for the move into predictive and perspective analytics.

5.5. Gear 5: AI (Artificial Intelligence)

This stage is associated with the advanced data analytics and tools used to provide new
answers to questions raised from the data analysis stage to add real and unexpected value to
the manufacturing industry. It is based on using Big Data, predictive and perspective-based
analytics and artificial intelligence-based analytics.
AI is the ability of the computer to think and learn itself. Big data, intelligent algorithm
and computer systems drive the AI process to enhance machines and people through digital
capabilities such as perception, reasoning, learning and autonomous decision-making [88].
In the manufacturing industry, AI is seen as the brain of the Industry 4.0 transformation
while other digital technologies provide the muscles to drive the transition from automation
to autonomy.
Key driving factors to implement AI in manufacturing includes: (i) to improve cost
savings; (ii) to transform operations; (iii) to provide better customer service; and (iv) to create
better workplace environment [34,89,90]. AI also has a potential impact on the economy
leading to a stronger and improved economical prospect as a result of a more efficient,
sustainable and competitive manufacturing [3].
Applications of AI and the use cases vary in manufacturing. Predictive maintenance
of machines and tools is one of the key values created, which has the potential to reduce
repairing costs by 12% [90]. AI-based learning algorithms spot trends in the data for early
warnings and indications of possible failures and breakdown. This allows maintenance to
be scheduled and intervened rather than being dependent on periodic checks, enabling
a proactive behavior instead of a reactive behavior, which leads to a more reliable and
sustainable production line.
An example of an AI predictive maintenance application in the aerospace industry is
used by the British engine manufacturers Rolls Royce. The IoT capabilities and advanced
analytical tools of Rolls Royce engines in the aircrafts are capable of predicting wear and
tear in the engine so that an intervened repair and maintenance awaits as the airplane
lands in order to maximize the aircraft availability [91]. Another application of AI in the
aircraft industry is the Airbus Skywise platform [92] empowered by machine learning
algorithms to enable insights into the data, collected from various sources of the aircraft for
maintenance and repair operations. They also provide insights into operational efficiencies
optimize the parts usage, reduce aircraft downtime and cut down service costs.
A manufacturing application of predictive maintenance is presented in the case study
by Lee et al. in [41] where an intelligent spindle monitoring system was developed to
monitor and predict the performance of the tool spindle of a CNC machine minimizing
maintenance costs and optimizing product quality. AI application in manufacturing also
plays crucial role in empowering workforce with a baseline knowledge to improve process
efficiency and productivity. AI based algorithms can provide workforce with real-time
recommendation(s) to act upon especially for young inexperienced workforce. They can
also autonomously act to address raised issues making machines to adjust themselves in
order to optimize quality or energy efficiency during production operations [93]. Other use
Appl. Sci. 2021, 11, 3568 21 of 35

cases of AI in manufacturing include but are not limited to: (i) improvements in quality
inspection using images processing and recognition techniques for process optimization
and scrap reduction [34,90]; (ii) in safety monitoring and control using AI-based self-
learning models embedded within manufacturing automation systems (e.g., robots). These
systems learn from prior experience and human interventions and react to unforeseen
situations, resulting in taking pressure off people, reducing human error and improving
workplace health and safety [34]; (iii) production scheduling using AI, combined with
mathematical optimization tools to plan, schedule and optimize capacity planning [94].
Although, many manufacturing companies are making significant steps in AI adop-
tion, there are still challenges that form barriers to AI uptake. A recent global survey
reported by plutoshift [95] indicates that only 17% of manufacturing organizations are in
full implementation stages of AI. These challenges are normally associated with the lack of
strategy. The nature of an AI-based system is that it needs to be continuously trained, mon-
itored and evaluated while guarding against bias, privacy violations and safety concerns;
therefore, an AI strategy should be in place. The Microsoft AI Maturity Model [34] is a
good example that highlight AI development. It consists of four stages namely Foundation,
Approach, Aspiration, Maturity and is based upon organization’s assessment and maturity
level to guide adoption of the right kind of AI tool(s) at the right place and time.
Figure 12 shows a simple process for manufacturing companies to use as a guide to
deploy an AI strategy. The aim is to enable predictive and perspective analytics that can be
practically achieved. It consists of five steps and utilizes six Industry 4.0 technologies. The
first step is to identify a business case that is aligned with the business strategy (e.g., to
maintain a reliable and sustainable production line in order to improve customer service).
The second step is to choose a suitable analytical application to meet the business case
objective (e.g., predictive maintenance of machines in the production line). The third
step is to consider how to best build and implement the application. Examples include
(i) the type of analytical tools needed to build the application (e.g., Software service/IIoT
platform) (ii) the type of Big Data needed (e.g., structured, unstructured, time series data)
(iii) the location of storage and the computing power needed (e.g., local, cloud), (iv) the
analysis methods to use for the identified application (e.g., machine learning, deep learning
techniques) (v) the skills needed to build the application and (vi) the cost of implementation
(In-house development or outsourcing). All these should be considered while taking into
account the culture and capabilities that match the maturity of the company. The fourth
step is to have an adequate alerting, visualization and reporting mechanism in place to
enable people to make decisions and take actions based upon the information produced.
Machines and robots can also be further enabled to execute actions themselves. The process
can allow them to self-adapt to the control commands based on the information provided
by the AI application. This subsequently enables autonomy and the application of CPS in
manufacturing. The fifth step is to have a continuous feedback and configuration control
to optimize the AI application, the preventative actions and the decisions being taken.
Main challenge in this stage is associated with data. Data availability, data quality,
adequate connectivity and data infrastructure are needed to embrace analytics and fully
utilize AI applications [95]. These challenges can be addressed by using robust IIoT plat-
forms/analytics applications that are capable of data mining from anywhere, perform
necessary computing and providing adequate visualization of information that translate
data into actionable information [34,36].
Other challenges of adopting AI are associated with cultural change and new technol-
ogy adoption. These include perceived fears of workforce around technology being too
difficult to use, lack of trust, or often the fear that it will take jobs away. However, according
to HPE survey in [89], it is predicted that AI-created jobs will balance or outweigh those
made redundant. Therefore, leadership from the top should have continuous commu-
nication strategy in place to overcome such issues. There is also a lack of data science
knowledge and AI skills in the manufacturing industry [34,89,90], therefore, professional
Appl. Sci. 2021, 11, 3568 22 of 35

Appl. Sci. 2021, 11, 3568 22 of 36

development of the internal staff, hiring of technically skilled people or collaboration with
external expertise in the field could possibly overcome these issues.

Figure 12. Gear 5—AI stage and Industry 4.0 technology jigsaw (primary technologies represented in color, secondary
Figure 12. Gear 5—AI stage and Industry 4.0 technology jigsaw (primary technologies represented in color, secondary
technologies represented in grey).
technologies represented in grey).
Main challenge in this stage is associated with data. Data availability, data quality,
5.6. Gear 6: Scale
adequate connectivity and data infrastructure are needed to embrace analytics and fully
The
utilize AIproposed “Six-Gears
applications Roadmap”
[95]. These is anticipated
challenges and envisioned
can be addressed to be dynamic
by using robust IIoT plat-
and continuous. The sixth stage in the process is thus related to the scalability
forms/analytics applications that are capable of data mining from anywhere, perform stage. It
nec-
is designed to increase the scale and scope of the application within each stage in the
essary computing and providing adequate visualization of information that translate data
roadmap by capitalizing upon the capacity of the Industry 4.0 digital technologies.
into actionable information [34,36].
Figure 13 shows an overview of different options available to scale the stages of the
Other challenges of adopting AI are associated with cultural change and new tech-
roadmap together with showcasing key building blocks of the technologies associated with
nology adoption. These include perceived fears of workforce around technology being too
each stage. The roadmap can be scaled horizontally and/or vertically to show the different
difficult to use, lack of trust, or often the fear that it will take jobs away. However, accord-
opportunities available for manufacturing SMEs to capitalize upon. The horizontal path
ing to HPE survey in [89], it is predicted that AI-created jobs will balance or outweigh
represents the options to scale any stage of the roadmap together with an additional
those made redundant. Therefore, leadership from the top should have continuous com-
option that represents other key Industry 4.0 technologies that have potential in smart
munication strategy in place to overcome such issues. There is also a lack of data science
manufacturing. The vertical path on the other hand represents the option with further
knowledge and AI skills in the manufacturing industry [34,89,90], therefore, professional
deep dive into each stage of the roadmap.
development of the internal staff, hiring of technically skilled people or collaboration with
external
5.6.1. expertise
Scaling in the field
the Roadmap could possibly overcome these issues.
Gears
Strategy phase scaling can be achieved by adding new business cases and initiating
5.6. Gear 6: Scale
projects within the company related to processors and procedures optimization within
The proposed
manufacturing. “Six-Gears
Quality 4.0 is anRoadmap”
example ofisaanticipated and envisioned
strategic theme to bedigitalization
associated with dynamic and
continuous.
and automation Theofsixth stage inmanagement
the quality the process activities
is thus related
to aligntowith
the scalability
the Industry stage. It is de-
4.0 strategy
signed
and the to increase the
company’s scale and
business case.scope of the
Quality 4.0application
builds uponwithin each stage
traditional qualityinmethods
the roadmap and
by capitalizing upon the capacity of the Industry 4.0 digital technologies.
is further enabled by Industry 4.0 technologies [33]. For example, connecting measurement
Figureand
equipment 13 shows
gauging antools
overview of different
with IIoT enabledoptions
gateways available
providetomeasurement
scale the stagesdataofthat
the
roadmap
can together
be logged with showcasing
in real-time. The qualitykey building blocks
management team can of utilize
the technologies
such data to associated
monitor
withinspect
and each stage. The
critical roadmap can
measurement be scaled
features duringhorizontally
production. and/or vertically
Analytical to showtech-
predictive the
different
niques opportunities
such as statisticalavailable for manufacturing
process control (SPC) can also SMEs to capitalize
be applied to the upon. The horizon-
measurement data
talprovide
to path represents
alerts for the optionsintervention
immediate to scale anytostage of the
reduce roadmap
potential together
scrap. with an mon-
Environmental addi-
itoring is another
tional option thatexample of scaling
represents other the
keyuse of IIoT4.0
Industry connected devices
technologies in the
that plant
have to better
potential in
smart manufacturing. The vertical path on the other hand represents the option with fur-
ther deep dive into each stage of the roadmap.
 Appl. Sci. 2021, 11, 3568 23 of 35

understand effects of the environmental conditions on productivity and performances

of the factory. Data could possibly suggest ways on how to best optimize operations to
increase efficiencies, productivity and reduce carbon emissions. Health and Safety strategy
can focus on the wellbeing of the workforce by improving safety and control methods by
the application of AI- enabled systems in the factory [34]. Benchmarking activities against
similar industries on the Industry 4.0 journey, and, digital marketing applications using
Appl. Sci. 2021, 11, 3568 23 of 36
Industry 4.0 technologies (e.g., virtual reality applications, digital twins, etc.) are other
possible strategies and business cases that can be adopted along the journey.

Figure
Figure 13.13.
GearGear 6—scalability
6—scalability stage
stage and and Industry
Industry 4.0 technology
4.0 technology jigsaws
jigsaws (primary
(primary technologies
technologies represented
represented in sec-
in color, color,
ondary technologies
secondary represented
technologies in grey).
represented in grey).

5.6.1. Scaling the Roadmap Gears

Strategy phase scaling can be achieved by adding new business cases and initiating
projects within the company related to processors and procedures optimization within
manufacturing. Quality 4.0 is an example of a strategic theme associated with digitaliza-
tion and automation of the quality management activities to align with the Industry 4.0
Appl. Sci. 2021, 11, 3568 24 of 35

Connectivity stage scaling can be achieved by adding IIoT connected devices and
applications across the factory and linking it up with the smart factory architecture, to
gain more insights into the manufacturing processes and operations that are aligned with
business strategy and objectives. IT infrastructure can be scaled by enhancing the in-house
datacenter or considering a full cloud/hybrid migration to cope with the growing amount
of data and the computing requirements for the Industry 4.0 applications [47]. Network
infrastructure scaling can be achieved by enhancing the factory floor communication, net-
work capability and performance by using emerging wireless communication technologies
such as 5G for rapid and reliable communication, Wi-Fi, LTE, ZigBee, LoRa and LoRaWAN
for cost effective and rapid deployment. Wireless Sensor Networks (WSNs) systems that
deploy wireless communication technologies and IoT connectivity architecture have been
widely applied in various applications such as in smart cities [96], in agriculture and
environment monitoring [97–99], in transportation [100] and in food manufacturing [101].
These applications can be transferred and widely adapted in manufacturing to enable
further data-driven smart manufacturing applications.
Cybersecurity can be scaled by incorporating blockchain technologies for increased
security and enhanced traceability. Blockchain is a collection of a record keeping database
technologies that stores information in a chain using cybersecurity algorithms and dig-
ital threads to digitally authenticate data for electronic exchange and processing [102].
Blockchain save time, cost and reduce the risk of human errors to prevent issues of fraud
and counterfeiting, which are used mainly in financial transactions [102]. An example
of the application of blockchain technology in smart manufacturing is to allow digitized
manufacturing instructions to be authenticated and safely transmitted during the product
lifecycle without the risk of manipulation, and, to prevent cyberattacks during supply
chain collaboration [102,103]. This enables trust and make the supply chain more secure
and transparent. Other applications may include the use of blockchain technologies in
conjunction with blockchain-based platforms and Industry 4.0 technologies (e.g., Big Data
and AI) that can be used to develop marketing strategies, determine future trends and
customer demands, utilizing both data and social media platforms to enable data driven
marketing [104].
Integration stage can be scaled by integrating o IT and OT systems within and
across the organization. Such integration includes further vertical integration within
the manufacturing operation layers, as well as, horizontal integration with other IT systems
(e.g., modeling and simulation applications) across the production facility and external sys-
tems such as IT systems in the supply chain. Supply chain systems integration (upstream
and downstream) can provide information insights into every part of the customer/supply
chain, thus enabling awareness, visibility, responsiveness, and resilience. This provides
manufacturing companies with enormous opportunities to capitalize upon in order to re-
main competitive, and to meet customer demands of tighter deadlines and ever-increasing
cost pressures [105].
An example of integrating modeling and simulation tools into smart manufacturing
include the application of virtual reality (VR) technologies to support real-time human
interaction with computer generated or simulated 3D environments. VR is a suite of
technologies that simulates communication and collaboration across the product life cycle
by incorporating visual environments and auditory/sensory feedback to represent an
imaginary world (i.e., digital footprint) that corresponds to the real world.
A virtual digital twin of a plant, factory, process, or a product is used to bridge the gap
between the physical and digital worlds. A digital twin system is a cyber digital model of a
physical component, product, or a system created to simulate their behaviours in real-word
environments and is capable to provide a comprehensive physical and functional descrip-
tion in a mirrored digital environment. This paves the path for cyber physical integration in
smart manufacturing [106]. It consists of three components, the physical entity, the virtual
model and the data that connects the two together [107]. Digital twins can be created and
applied in three stages. Firstly, in the system design stage by enabling efficient virtual vali-
Appl. Sci. 2021, 11, 3568 25 of 35

dation of system’s performance of a current manufacturing process. It predefines different

scenarios, give early discovery of performance and deficiencies and provide an opportunity
for rapid design optimizations until satisfactory planning is confirmed before the physical
processes are developed [107]. Secondly, in the system configuration stage by enabling
virtual models to update and reconfigure themselves based on the real-time data from the
actual manufacturing operations and AI based self-learning models. This allows to achieve
system flexibility and rapid optimization of the manufacturing performance. Thirdly, in
the system operation stage by enabling feedback on adjustments instructions from the
digital model to the physical systems, controlling the physical output through CPS-for
interactive and parallel control [108]. Examples of the application of digital twins in the
aerospace manufacturing industry includes improvements in lean-management methods
such as value stream mapping. This constitutes the use of factory simulation to design a
physical factory layout to improve material/products flow. Other areas may include a zero
defects strategy achievement and ‘right-first-time’ in manufacturing, which reduce waste
and quality issues associated with new product development. This subsequently results in
the demand for high quality standards and increase in market agility [108].
Scaling the Analytics and the AI stages involve utilization of big data available (struc-
tured, unstructured and time series data), the appropriate analytical methods (descriptive,
diagnostics, predictive and prescriptive) and machine learning/deep learning tools for
deeper and wider applications that aligns with the business strategy and adds value to the
SMEs manufacturing process.

5.6.2. Other Advanced Technologies for Smart Manufacturing

Augmented Reality (AR) is an interactive experience with the real world that enables
the user to incorporate things (visual, haptic, auditory, etc.) that reside in the digital
world into the real world to enhance its overall experience. It is deployed based upon
a collection of technologies enriched by computer-generated text, 2D/3D virtual digital
content. AR applications in manufacturing are used to improve methods to guide workers
in maintenance and training applications [109,110]. AR technology enables workers to
get relevant visual information around the process or the physical thing in real-time by
overlaying text, image, video, etc. onto a view of the physical world through camera
enabled devices (e.g., smartphone, tablet, AR/VR headset). AR applications can be more
powerful when integrated with other Industry 4.0 technologies such as IIoT and digital
twin applications to enable real-time monitoring and efficient planning of the operation
and process [44]. Current AR applications focus on sharing simple statistical data of
machine/product operation, but in the future, it is expected to be extended to combine
advanced analytics and AI- based modules to share additional insights about various
products and recommended services [109].
Robotics with advanced AI-based intelligence and automation control enable CPS
applications in manufacturing. Collaborative Robots (Cobots) are a new generation of
advanced robots that are being rapidly embraced in manufacturing. Cobots are integrated
with AI, connectivity and automation control features that allows collaboration with
humans in a safe, autonomous and reliable environment. Cobots enable new capabilities in
smart manufacturing that improves quality, maximize productivity and reduces operational
costs [111].
Additive Manufacturing is a technology that builds digital objects into physical objects
using a layer-by-layer building process with the aid of 3D printer machines and advanced
materials. It is a flexible production model that bridges the gap between the digital and the
physical world without the need of specialized tools. Additive manufacturing is currently
used in high end and high value manufacturing when quickly prototyping affordable parts
and in the production of tooling such as making jigs and fixtures to reduce the tooling costs
and to allow for more flexibility, especially in the aerospace industry [112].
5G is a fifth-generation wireless communication technology that supports reliable,
high speed and high coverage communication. It is a technology that enables advanced
Appl. Sci. 2021, 11, 3568 26 of 35

connectivity and increased data availability that can be used in industrial environments to
further enable and support current and future data-driven smart manufacturing applica-
tions. It supports and enhances the adoption of IIoT, CPS, digital twins, edge computing
and the implementation of AI and AR in Industry 4.0 applications to achieve their full
potential [61]. A use case of 5G in aerospace manufacturing is the collection of high-speed
data for real-time monitoring in different operational conditions to update digital twin
systems to subsequently improve the jet engine manufacturing process [113].

6. Other Challenges of Digital Transformation for Manufacturing SMEs

6.1. Finance
The cost of implementing an Industry 4.0 project remains one of the top adoption
barriers for manufacturing SMEs [114]. This is because of the lack of clear mechanisms
and awareness of funding schemes [24,114], limited access to funding to support invest-
ments [16] and limited data available to demonstrate the ROI [49]. Government funded
schemes are key to support and encourage SMEs to adopt Industry 4.0. The UK Made
Smarter program [115] is an example of a leading scheme in the UK designed to boost
manufacturing productivity and growth with dedicated programs and co-funding oppor-
tunities to assist the adoption of industrial digital technologies and digital transformation.
In addition, because of the nature of Industry 4.0 projects that often require custom imple-
mentations based upon readiness level, integration needs and application requirements,
research and development activities and system design activities are crucial prior to imple-
mentation. SMEs can capitalize on the RandD tax credits relief from the government since
such projects encourage economic growth.

6.2. Managing Change

Digital transformation is associated with change, therefore, resistance is expected
because people do often resist procedures outside the norm. Understanding and accepting
change and effectively managing it within the organization is key to the successful transi-
tion into a smart factory [114]. Manufacturing SMEs need to get the buy-in from the whole
organization, have stakeholders on board, build communication lines, address any raised
concern (e.g., fear of unknown, no personal reward, job security, untrustworthiness in the
technology, etc.) and establish cross functional teams to help achieve and equip themselves
for the change [8,28,29,45].

6.3. Skills
Increasing digitalization, automation and Industry 4.0 technologies are forcing work-
force in production facilities to change how they work on ordinary tasks and to allow them
to spend more time on high-value activities dealing with what if scenarios such as moni-
toring datasets for preventative maintenance [16,34]. The main skill gaps are associated
with digital skills, using the technology and managing it especially for an aging workforce.
Manufacturing companies must be prepared to support this development making sure
that their existing workforce has the required level of digital skills together with other soft
skills such as problem solving, creativity and critical thinking in order to help existing
employees get up-to-speed with new technologies in addition to recruiting people who
already have the digital and technical skills [16,43,109]. Access to technical skills when
introducing Industry 4.0 technologies to the company is essential for faster adoption. This
can be achieved by outsourcing specialist skills in the field, collaborating with technology
providers or creating partnership with external organizations such as academic institutes,
digital catapults and innovation hubs for access to knowledge transfer, route for acquiring
skills and talent recruitment [28].

7. Discussion
There has been considerable efforts by academia, research centers and high-tech indus-
trial organizations to simplify the technological building blocks and digital transformation
Appl. Sci. 2021, 11, 3568 27 of 35

roadmaps for Industry 4.0 adoption. These efforts are transferred to the manufacturing
industry through publications and programs often driven by governments led initiatives
and delivered through knowledge base institutions and innovation centers. These initia-
tives help manufacturing SMEs to convert ideas into reality to close the gaps between them
and large manufacturing companies that have more time, resources and skills to invest in
digital innovation.
In the UK, the Made Smarter government program [115] provides digital transforma-
tion workshops designed to develop a digital manufacturing strategy and a technology
roadmap for manufacturing SMEs to assist with their digital transformation. It is achieved
by benchmarking the digital readiness level and by providing advice on the technolo-
gies that are most effective to overcome the company’s operational challenges. LCR4.0
start [116] is an initiative by LCR4.0 (a group of partners in the Liverpool City Region),
funded by ERDF, designed to support manufacturing companies to develop a digital strat-
egy to drive a transformation project and pinpoint digital technologies that can best fit
SMEs requirements in their respective areas of manufacturing. The Digital Manufacturing
Accelerator (DMA) program by the Manufacturing Technology Centre (MTC) [117] is
another potential collaborative initiative. It is designed to bring leading research, industry
and technology experts together by building a platform with appropriate infrastructure -
to explore, design and support the potential solution beforehand in order to accelerate the
implementation of innovative digital manufacturing technologies into UK’s manufacturing
and supply chain. These initiatives provide manufacturing SMEs with appropriate support
and de-risk the financial commitment in their Industry 4.0 journeys.
Other academic research led programs such as the ‘Digital Manufacturing on a
Shoestring Project’ by Cambridge University [118] aims to define a conceptual model
for digital transformation of SMEs by developing a reference architecture for the gradual
technical implementation of low cost and accessible digital manufacturing solutions. How-
ever, methods to implement digital manufacturing solutions is still under investigation
in multiple pilot projects. In Europe, the European Factories of the Future Research As-
sociation (EFFRA) is a leading organization that aims to support the implementation of
factories of the future by providing an ecosystem of support and programs that promote
research and innovative activities related to Industry 4.0 and smart manufacturing [119]. In
Germany, a government led program “Platform Industry 4.0” helps SMEs get started with
Industry 4.0 by providing an online map to search for non-commercial advisory services
in their region as well as access to programs that assist in developing their own digital
strategies along with access to funding [1]. The European Technology Chamber is another
example of an initiative that provides an ecosystem of academic and non-academic support
to manufacturing SMEs in Europe with their digital transformation and the use of advanced
digital technologies to improve their products and manufacturing processes [120].
To further realize the proposed roadmap and its effectiveness, it is anticipated that
it can be used as a support tool by digital accelerator programs in developing bespoke
Industry 4.0 technology adoption strategies for rapid adoption amongst SMEs for their
transition into smart factories.
Covid-19 pandemic has substantially affected the manufacturing industry. It has
caused disruption to production, operations and supply chain within the industry. This
subsequently has resulted in business uncertainty and new challenges to the post-pandemic
future associated with uncertainty around potential recession, workforce safety, financial
and market risks [121,122]. Digitalization of the manufacturing industry is seen to be focal
to adapt new norms for building back resilience in manufacturing [121,123]. Manufac-
turers are already responding to such challenges by taking proactive approach to digital
transformation and leveraging on digital technologies to become more resilient, flexible
and agile [124]. However, recent survey by Industry Week of global manufacturers [24]
suggests that the top challenge to a post pandemic alignment for digital transformation is
the lack of clear roadmap that leverages technologies for transformation outcome. SMEs
Appl. Sci. 2021, 11, 3568 28 of 35

are flexible and agile to change but require leadership, access to knowledge and skills to
drive change.
The proposed roadmap can be used by manufacturing SMEs as a rapid tool to de-
velop their individual strategic vision of smart manufacturing, to stimulate leadership
and to assist with rapid implementation and adoption of Industry 4.0 technologies. Its
six gears/stages can also be used as a measuring index and a benchmarking tool for the
adoption journey against other manufacturing companies. Case studies around practi-
cal applications ofg the first two stages of the proposed roadmap with a manufacturing
SME, in their Industry 4.0 journey, have shown a rapid and successful implementation of
Industry 4.0 technologies [125,126]. It has been achieved through a collaborative Knowl-
edge Transfer Partnership (KTP) project between a knowledge base partner (Liverpool
John Moores University) and a manufacturing SME (Beverston Engineering—a precision
engineering manufacturer). Application of the other stages of the roadmap is currently
under progression, which would be the focus of the future case studies and publications.
This roadmap can also be used by academia to promote further research and to de-
velop a comprehensive strategic roadmap of Industry 4.0 technologies adoption for other
industrial sectors. The different stages of the roadmap can also be used to drive research
in developing innovative smart manufacturing applications in a structured manner such
as new IIoT and 5G connectivity applications in the connectivity stage, new horizon-
tal/vertical integration techniques and communication protocols in the integration stage,
machine learning and deep learning applications in the AI stage, VR/AR applications in
the scale up stage, etc.

8. Conclusions
The fourth industrial revolution is an era of digital transformation in the manufactur-
ing industry. It offers potential and opportunities for more resilience, flexibility, suitability
and potential growth. Industrial digital technological advancement that fabricates Industry
4.0 enable smart manufacturing to be achieved. This can be achieved by connecting physi-
cal and digital worlds along the entire manufacturing process to provide better visibility
for decision making. Advanced digital technologies need to be connected, integrated and
used effectively to provide insightful information regarding the manufacturing process.
Smart manufacturing is a journey and requires a roadmap to guide through its adoption.
This paper reviewed an extensive amount of academic and industrial literature and
systematically brought together—The theoretical conceptual processes for Industry 4.0
and smart manufacturing implementations, the technology trends of Industry 4.0 and the
industrial tips and advices—For successful Industry 4.0 adoption in one holistic roadmap
that is divided into six stages. The proposed roadmap provides a practically applicable
manufacturing strategy that shares common features of similar models, frameworks and
transformation strategies and initiatives.
The proposed roadmap is divided into six stages known as gears, namely: (i) strategy;
(ii) connectivity; (iii) integration; (iv) analytics; (v) AI; and (vi) scale. In each stage of the
roadmap, key enabling Industry 4.0 digital technologies are outlined and presented as
building blocks of a jigsaw map to simplify the main technologies for smart manufactur-
ing. Within each stage of the roadmap, sub-stages are presented as relevant categories
that advices on the successful implementations of the roadmap. The main adoption chal-
lenges/barriers and ways to overcome them are discussed to assist manufacturing SMEs to
overcome them. Industrial applications and case studies are highlighted to showcase the
opportunities available and the potential that could be gained from smart manufacturing.
The paper outlines other advance Industry 4.0 technologies that further enable smart
manufacturing. It also highlights common challenges associated with digital transforma-
tion in manufacturing SMEs and practical suggestions on how they can be addressed.
The proposed roadmap serves as a simple, holistic and strategic guide for manufac-
turing SMEs with their Industry 4.0 adoption and digital transformation journey. This
work is beneficial to bridge the gap between the advance technologies available and their
Appl. Sci. 2021, 11, 3568 29 of 35

application within the industry, especially within SMEs context. It aims to trigger SMEs to
seize the opportunity to rapidly embark upon Industry 4.0 in order to improve all areas of
manufacturing process to achieve competitiveness and to assist in navigating the impact of
Covid-19.
The efforts by academia, industry and government initiatives to assist manufacturing
SMEs in Industry 4.0 adoption are briefly summarized and finally the necessary efforts
needed to further realize this roadmap are discussed.

Author Contributions: A.T.S., conceptualization, methodology, investigation, data curation, writing—

original draft preparation, writing—review and editing; B.M.A., writing—review and editing, super-
vision, project administration, funding acquisition; M.A., writing—review and editing, supervision,
project administration, funding acquisition; R.W., supervision, project administration, funding ac-
quisition; D.C., supervision, project administration, funding acquisition. All authors have read and
agreed to the published version of the manuscript.
Funding: This work was funded by Innovate UK under grant no. 11153.
Acknowledgments: The support and guidance by Beverston Engineering Ltd. and the Knowledge
Transfer Network (KTN) during the project is appreciated.
Conflicts of Interest: The authors declare no conflict of interest.

Appendix A

Table A1. A summary of key academic and industrial documents in the context of smart manufacturing and Industry 4.0.

Reference Type General Features Industry 4.0 Technology Trends

Industry 4.0 technologies and trends relevant to the
[11] Technology review IoT, BD, CPS, ML, AD, R
developments of smart manufacturing.
Characteristics: Context awareness, modularity,
IC, IoT, CC, AD, ES, CS, SP, DA,
heterogeneity, interoperability, compositionality.
[10] Technology review PM, CPS, VT
Enabling factors: law and regulations, innovation
education and training, data sharing systems.
5 principles: Accessibility, Multilingualism, Security,
Technology review, issues, Open-source, Multilateral
[38] challenges, and conceptual 3 applications: Smart Factory/Manufacturing, Smart
CC, BD, IoT, MC, CPS, ICT
framework of interoperability City, Smart Products.
4 architecture levels: Operational, Systematical,
Technical, Semantic.

Technology review of internet
[39] connected devices in
manufacturing
Technology review of Industry 4.0
[40] developments and practices for
sustainable manufacturing
Conceptual model for
implementing Industry 4.0
[35]
technologies in smart
manufacturing
Conceptual model for
[7] implementing CPS’s for
manufacturing applications
Technology review and
conceptual roadmap for
[6]
digitalisation of the
manufacturing industry
Impact and value of Industry 4.0 and internet
connected technologies that enable IoT
new products, services and business models.
Conceptual perspective of Industry 4.0 integration.
Micro and Macro integration perspective: Horizontal,
Vertical, and End-to-end integration within the smart
factory and across the entire product life cycle and CPS
value chain.
Micro and Macro opportunities for sustainable
manufacturing.
3 stage implementations: Vertical Integration,
Advanced Automation, Flexibilization.
2 technology layers:
Front- end Technology: Smart Manufacturing, Smart IoT, CC, BD, DA
Products, Smart Supply Chain, Smart Working.
Base- end Technology: IoT, Cloud, BD Analytics.
5 level architecture (5C): Smart Connection,
CPS, DA
Conversion and Cyber, Cognition and Configure.
6 management principles: Strategy, Marketing, Human
Resources, IT Resources, Manufacturing Technology
IoT, CC, BD, B, CS, AR, R, AD,
and Supply Chain.
CPS, VT
12 design principles.
14 technology trends.
Appl. Sci. 2021, 11, 3568 30 of 35

Table A1. Cont.

Reference Type General Features Industry 4.0 Technology Trends

Literature review, framework
4-layer architecture: sensory, integration, intelligent
[42] architecture for smart IoT, BD, IC, CPS, MES,
and response
manufacturing technologies
Industrial technology report 9 technology pillars for transforming
[5] IoT, R, BD, CS, VT, HVI, CC, AD
(BCG) industrial production.
Industrial technology review Emerging technology trends, implications, action
[43] IoT, R, BD, CS, AI, AD, VT, CC
report (Automation Alley) plans, case studies.
5 Features of smart factory.
5 Benefits of a smart factory.
Industrial report on smart factory
[8] 6 Impact on manufacturing processes. CS, IoT, AI, AD, AR, R, DA
transition (Deloitte)
5 Areas of consideration.
4 Practical steps towards the smart factory.
History and future potential of manufacturing
systems technologies.
Industrial Research, Digital 5 layers: Strategic objectives, Operational excellence,
[9] Transformation Framework (LNS Operational architecture, Business case development, BD, HVI, CC, DA, AI, ML,
Research) Solution selection.
4 recommended actions for digital transformation and
smart manufacturing.
Operational architecture framework that focuses on
Industrial Research, Operational applying data and analytics within the Digital
Architecture Framework on Transformation Framework
[44] BD, AI, CC, IoT
applying data analytics. (LNS 4 layers: Industrial operations, Compute and storage,
Research) Big data model, Industrial Analytics and Apps
10 practical tips guide for implementing an Industry
[29] Industrial white paper (Festo) -
4.0 project.
5-steps guide to master a digital transition journey.
Industrial white paper (ABI 4 challenges in digital transformation and
[45] 4 Industry 4.0 technologies that make human the IoT, R, AR, PLM
research)
central beneficiaries.
Industrial white paper 3 steps approach for implementing connectivity
[46] IoT
(Bosch-Rexroth) aspects of Industry 4.0.
5-part guide that addresses challenges and presents
Knowledge base hub white paper advice on IoT Adoption.
[28] Case studies on how manufacturers can work towards IoT
(Sensor City)
successful IoT adoption.
Industrial white paper (Six 5 steps approach to lay stable IT foundations for the
[47] IoT, BD, AI, DT, AR, R
Degrees) transition to Industry 4.0 ready cloud environment.
6 Maturity stages: Computerization, Connectivity,
Visibility, Transparency, Predictive
Industrial white paper Maturity capacity, Adaptability.
[15] index for digital transformation 4 Structural areas: Resources, information systems, BD, ML, HVI, CPS
(Acatech) Culture, Organizational Structure.
5 Functional areas: Production, Logistics, Services,
Marketing, Sales.
4 steps: Address digital capability, Leverage digital
ATI framework for digital
[37] ecosystem, Stretch collaboration, Create space IoT, AR, VR,
transformation
and safety.
CC: Cloud Computing; R: Robotics and Automation; ML: Machine Learning: AD: Additive Manufacturing; BD: Big Data; IC: Intelligent
Control; IoT: Internet of Things; CPS: Cyber Physical Systems: CS: Cyber Security; SP: Smart Products; DA: Data Analytics; PM: Production
Management IT systems; ES: Energy Savings; VT: Virtual Technology; MC: Mobile Computing; ICT: Information and Communication
Technology; B-Blockchains; HVI: Horizontal/Vertical Integration.

Table A2. List of leading Industry 4.0 ready platforms.

Platform Name Company General Features

ThingWorx PTC IIoT-C, DA, AI, MOM, AR, DT
MindSpher Siemens IIoT-C, DA, AI, MOM, CB, DT
Tulip Manufacturing Apps Tulip IIoT-C, DA, MOM, CB
Appl. Sci. 2021, 11, 3568 31 of 35

Table A2. Cont.

Platform Name Company General Features

Watson IoT IBM IIoT-C, DA, AI
Nexceed (PPM) BOSCH IIoT-C, DA
Kinetic Cisco IIoT-C, DA
WISE-PasS Advantech IIoT-C, DA, AI, CB
Cumulocity IoT Software AG IIoT-C, DA, CB
AWS IoT Amazon Web Services IIoT-C, DA, AI, CB
Predix GE Digital IIoT-C, DA, AI, CB, DT
Azure IoT Microsoft IIoT-C, DA, AI, CB
SMas Datahone IIoT-C, DA, MOM, MES, CB
FactoryWiz FactoryWiz IIoT-C, DA, MOM, MES
machinemetrics MachineMetrics IIoT-C, DA, MOM, MES, AI, CB
ForcamForce FORCAM IIoT-C, DA, MOM
keyprod Keyprod IIoT-C, DA, MOM, MES
Smooth Monitor AX Yamazaki Mazak IIoT-C, DA
Panorama E2 CODRA IIoT-C, DA
Lumada Hitachi IIoT-C, DA, AI, CB
KepServer PTC IIoT-C, Software Bridge
OPCrouter Inray industrie software IIoT-C, Software Bridge
(IIoT-C: IIoT Connectivity; DA: Data Analytics; AI: Artificial Intelligence; MOM: Manufacturing Operation Management application, MES:
Manufacturing Execution System application; CB: Cloud Based only, AR: Augmented Reality application, DT: Digital Twin Application.

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